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Article # 9006
Professional Conduct
Taken from: RULE - Department of Transportation and Development - Professional Engineering and Land Surveying Board - Title 46 - PROFESSIONAL AND OCCUPATIONAL STANDARDS - Part LXI. Professional Engineers and Land Surveyors. The State of Louisiana, http://www.lapels.com/rules.pdf
Chapter 25. Professional Conduct
§2501. Scope; Knowledge; Definition of Licensee
A. In order to safeguard life, health and property, to promote the public welfare, and to establish and maintain a high standard of integrity and practice, the following rules of professional conduct shall be binding on every licensee. These rules of professional conduct deal primarily with the relationship between licensees and the public, and should not be construed as a substitute for codes of ethics of the various professional and technical societies.
B. All licensees under the licensure law are charged with having knowledge of the existence of these rules of professional conduct, and shall be deemed to be familiar with their provisions and to understand them.
C. In these rules of professional conduct, the term "licensee" shall mean any professional engineer, professional land surveyor, engineer intern, land surveyor intern, or domestic or foreign corporation holding a license or certificate issued by this board.
D. A licensee possessing personal knowledge of a violation of the licensure law or the board rules found in this Chapter shall report such knowledge to the board in writing and shall cooperate with the board in furnishing such further information or assistance as it may require. The licensee shall timely respond to all inquiries and correspondence from the board and shall timely claim correspondence from the U.S. Postal Service, or other delivery service, sent to the licensee, from the board.
§2503. Licensees
A. Licensees shall hold paramount the safety, health, property and welfare of the public in the performance of their professional duties.
B. Licensees shall at all times recognize that their primary obligation is to protect the safety, health, property, and welfare of the public. If their professional judgment is overruled by nontechnical authority, they will clearly point out the consequences, notifying the proper authority of any observed conditions which endanger public safety, health, property and welfare.
C. Licensees shall approve and seal only those design documents and surveys which are safe for public health, property, and welfare, which are complete and accurate, which are in conformity with accepted engineering and land-surveying standards or practice, and which conform to applicable laws and ordinances.
1. Licensees shall comply fully with Chapter 27 (Use of Seals).
2. Except as permitted by §2701.A.3.b.ii.(a), licensees shall not seal the work of or take the professional responsibility for any documents related to engineering or land surveying not performed by the licensee or under the licensee’s responsible charge.
3. Licensees may not accept the responsibility for, nor review, revise, sign, or seal drawings when such plans are begun by persons not properly licensed and qualified; or do any other act to enable either such licensees or the project owners, directly or indirectly, to evade the requirements of the licensure law.
D. Licensees shall submit to a client only that work (plans, specifications, reports, and other documents) prepared by the licensee or by an employee (or subordinate) of the licensee (which is under the licensee's responsible charge); however, licensees, as a third party, may complete, correct, revise, or add to the work of another licensee or other related design professional, if allowed by Louisiana statutes, when engaged to do so by a client, provided:
1. the client furnishes the documentation of all such work submitted to him by the previous licensee(s), or their related design professional(s);
2. the previous licensees or other related design professionals are notified in writing by the licensee of the engagement referred to herein immediately upon acceptance of the engagement; and
3. all work completed, corrected, revised, or added to shall contain a notation describing the work done by the licensee now in responsible charge, shall have the seal and signature of the licensee affixed thereto, the date of execution, and shall become the responsibility of the licensee.
E. Licensees shall be objective and truthful in all professional reports, statements or testimony. The licensee shall include all relevant and pertinent information in such reports, statements or testimony.
F. When serving as an expert or technical witness before any court, commission, or other tribunal, licensees shall express an opinion only when it is founded upon adequate knowledge of the facts in issue, upon a background of technical competence in the subject matter, and upon honest conviction of the accuracy and propriety of the licensee's testimony.
G. Licensees shall issue no statement, criticisms, or arguments on engineering or land surveying matters connected with public policy which are inspired or paid for by an interested party, or parties, unless the licensee has prefaced the comment by explicitly identifying the licensee's name, by disclosing the identities of any party or parties on whose behalf the licensee is speaking, and by revealing the existence of any pecuniary interest the licensee may have in the instant matters.
H. Licensees shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of another engineer or land surveyor, nor indiscriminately criticize another engineer or land surveyor's work in public. If the licensee believes that another engineer or land surveyor is guilty of misconduct or illegal practice, such information shall be presented to the board in a manner consistent with the requirement of those rules for reporting personal knowledge of rule or statute violations.
§2505. Services
A. Licensees shall perform services only in the area of their competence.
B. Licensees shall undertake assignments only when qualified by education or experience in the specific technical fields of engineering or land surveying involved.
C. Licensees shall not affix their signatures or seals to any plans or documents dealing with subject matters in which they lack competence, nor to any such plan or document not prepared under their responsible charge. Responsible charge requires a licensee or employee to carry out all client contacts, provide internal and external financial control, oversee employee training, and exercise control and supervision over all job requirements to include research, planning, design, field supervision and work product review. A licensee shall not contract with a non-licensed individual to provide these professional services. Research, such as title searches and soil testing, may be contracted to a non-licensed individual, provided the licensee reviews the work. The professional engineer and professional land surveyor may affix their seal and signature to drawings and documents depicting the work of two or more professionals provided that a note under the seal designates the specific subject matter for which each is responsible.
D. Licensees may accept an assignment outside of their areas of competence to the extent that their services are restricted to those phases of the project in which they are qualified, and to the extent that they are satisfied that all other phases of such project will be performed or supervised by licensed, qualified associates, consultants, or employees, in which case they may then sign and seal the documents for the total project.
E. In the event a question arises as to the competence of a licensee in a specific technical field which cannot be otherwise resolved to the board's satisfaction, the board, either upon request of the licensee or on its own volition, shall admit the licensee to an appropriate examination.
F. Engineers and construction (design-build) entities that meet all statutory requirements in this jurisdiction may offer a combination of engineering and construction services, provided that:
1. the entity obtains an authorization certificate from the board by filing, on a form approved by the board, a written disclosure on which it shall designate an engineer licensed in this jurisdiction to be in responsible charge of all engineering services offered and/or provided by the entity;
2. an engineer licensed in this jurisdiction and associated with such entity participates in the material aspects of the offering of engineering services with respect to any project;
3. one or more of the officers, partners, or members of the entity, and all personnel of such entity who act on its behalf as engineers, are licensed as engineers in this jurisdiction; and
4. the engineer(s) competent in the required specific areas of practice and licensed in this jurisdiction shall be in responsible charge of all engineering design and be directly involved during the construct of the project;
5. in the event such engineer's services are terminated with respect to the project, the entity and the engineer shall, within five business days, notify the board of such termination.
§2507. Conflicts of Interest
A. Licensees shall further act in professional matters for each employer or client as faithful agents or trustees and shall avoid conflicts of interest.
B. Licensees shall disclose all known or potential conflicts of interest to their employers or clients by promptly informing them of any business association, interest, or other circumstances which could influence their professional judgment or the quality of their professional services.
C. Licensees shall not accept compensation, financial or otherwise, from more than one party for professional services on the same project, or for professional services pertaining to the same project, unless the circumstances are fully disclosed to, and agreed to, by all interested parties.
D. Licensees shall not solicit or accept, directly or indirectly, benefits of any substantial nature or significant gratuity, from any supplier of materials or equipment, or from contractors, their agents, servants or employees or from any other party dealing with the client or employer of the licensee in connection with any project on which the licensee is performing or has contracted to perform engineering or land surveying services.
E. When in public service as a member, advisor or employee of a governmental body or agency, or under contract to provide consultation, advice, technical reviews and recommendations to a governmental body or agency, licensees shall not participate in considerations or actions with respect to professional services provided by them or their organization to that governmental body or agency.
F. Licensees shall not solicit nor accept an engineering and/or land surveying contract from a governmental body of which a principal or officer of the licensee's firm serves as a member, except upon public disclosure of all pertinent facts and circumstances and consent of appropriate public authority.
G. Licensees shall not attempt to supplant another engineer or land surveyor in a particular engagement after becoming aware that the other has been selected for the engagement.
§2509. Improper Solicitation
A. Licensees shall avoid improper solicitation of professional employment or services.
B. Licensees shall not falsify or permit:
1. misrepresentation of the licensee or any associate's academic or professional qualifications;
2. misrepresentation or exaggeration of the licensees' degree of responsibility in or for the subject matter of prior assignments; or
3. misrepresentation of pertinent facts concerning employers, employees, associates or joint ventures, of the licensees' or their firm's past accomplishments, with the intent and purpose of enhancing their qualifications and their work.
C. Licensees shall not pay nor offer to pay, directly or indirectly, any commission, or gift, or other valuable consideration in order to secure work, except under the following circumstances:
1. securing salaried positions through employment agencies; or
2. as a bona fide employee, or a bona fide established commercial marketing agency retained by them.
§2511. Conduct of Advertising
A. Licensees shall not make exaggerated, misleading, deceptive or false statements or claims about professional qualifications, experience or performance in brochures, correspondence, listings, or other public communications.
B. The prohibitions listed in Paragraph A include, but are not limited to the use of statements containing a material misrepresentation of fact or omitting a materials fact necessary to keep the statement from being misleading; statements intended or likely to create an unjustified expectation; and statements containing a prediction of future success.
C. Consistent with the foregoing, licensees may advertise for recruitment of personnel.
D. Consistent with the foregoing, licensees may prepare articles for the lay or technical press. Such articles shall not imply credit to the author for work performed by others.
Chapter 27. Use of Seals
§2701. Seal and Signature
A. The following rules for the use of seals to identify work performed by a professional engineer or professional land surveyor shall be binding on every licensee.
1. Seal Possession
a. Each professional engineer or professional land surveyor, upon licensure, shall obtain an official seal.
i. Firms are not authorized to possess seals.
ii. In the case of a temporary permit issued to a licensee of another state, the licensee shall affix the seal of his/her state of licensure, his/her signature, the date of execution, and his/her Louisiana temporary permit number to all of his/her work.
2. Seal Design and Signature Requirements
a. The design of the seal shall have the following minimum information:
i. State of Louisiana;
ii. licensee's name;
iii. license number;
iv. contain the words "Professional Engineer" or "Professional Engineer in _________ Engineering;" or
v. "Professional Land Surveyor."
Seals issued prior to promulgation of these rules may use the word "registered" in lieu of "license". If a seal is replaced, the new seal shall use the word "license" in lieu of "registered".
b. Deleted. Please see the original text for a facsimile of the approved seal designs.
c. Seals of two sizes are acceptable:
i. 1-5/8 inch seal commonly used in pocket seals; and
ii. 2-inch seal commonly used in desk seals.
d. Rubber seals of the same design and size are acceptable for use.
e. Computer generated seals of the same design and size may be used on final original drawings, provided that a handwritten signature is placed adjacent to or across the seal and the date is written below the seal.
f. A seal must be accompanied by the licensee’s signature and date. Electronic signatures are not authorized except for electronic transmission of work as stated herein below.
3. Seal Responsibility
a. The application of the licensee's seal, signature, and date shall constitute certification that the work thereon was done by the licensee or under his/her responsible charge. The licensee shall be personally and professionally responsible and accountable for the care, custody, control and use of his/her seal, professional signature and identification. A seal which has been lost, misplaced or stolen shall, upon discovery of its loss, be reported immediately to the board by the licensee. The board may invalidate the licensure number of said licensee, if it deems this necessary, and issue another licensure number to the licensee.
b. Responsible Charge
i. Plans, specifications, drawings, reports or other documents will be deemed to have been prepared under the responsible charge of a licensee only when:
(a). the client or any public or governmental agency requesting preparation of such plans, specifications, drawings, reports or other documents makes the request directly to the licensee or the licensee's employee as long as the employee works in the licensee's place(s) of business;
(b). the licensee supervises the initial preparation of the plans, specifications, drawings, reports or other documents and has continued input into their preparation prior to their completion;
(c). the licensee reviews the final plans, specifications, drawings, reports or other documents; and
(d). the licensee has the authority to, and does make any necessary and appropriate changes to the final plans, specifications, drawings, reports or other documents.
(i). If the plans, specifications, drawings, reports, or other such documents are prepared outside the licensee's office, the licensee shall maintain all evidence of the licensee's responsible charge including correspondence, time records, check prints, telephone logs, site visit logs, research done for project, calculations, changes, and all written agreements with any persons preparing the documents outside of the licensee's office accepting professional responsibility for such work.
(ii). A licensee failing to maintain written documentation of the items set forth above, when such are applicable, shall be considered to be in violation of R.S. 37:698(A)(6), and the licensee shall be subject to the disciplinary action procedure as set forth in the licensure law.
ii. No licensee shall affix his/her seal or signature to reports, plats, sketches, working drawings, specifications, design calculations, or other engineering and land surveying documents developed by others not under his/her responsible charge and not subject to the authority of that licensee, except:
(a). In the case of an individual licensee checking the work of and taking the professional responsibility for an out-of state individual licensee, the Louisiana licensee shall completely check and have responsible charge of the design. Such responsible charge shall include possession of the sealed and signed reproducible construction drawings, with complete signed and sealed design calculations indicating all changes in design.
(b). Certification of standard design plans which are initially prepared and sealed by a professional engineer properly licensed in the state of origin of such plans. Standard design plans may then be reviewed by a Louisiana resident professional engineer for code conformance, design adequacy, and site adaptation for the specific application within Louisiana. The professional engineer licensed in Louisiana assumes responsibility for such standard designs. Standard plans, which bear the seal of a professional engineer licensed in another state, shall be sealed by the Louisiana resident professional engineer who is assuming
responsibility. In addition to the seal, a statement shall be included as follows. "These plans have been properly examined by the undersigned. I have determined that they comply with existing local Louisiana codes, and have been properly site adapted to use in this area."
iii. No licensee shall affix his/her seal or signature to documents having titles or identities excluding the licensee's name unless:
(a). such documents were indeed developed by the licensee under the licensee’s responsible charge;
(b). the licensee shall exercise full authority to determine his/her development; and
(c). except as set forth in §2701.A.3.b.i.(a).
4. Seal Use
a. Completed Work
i. The licensee shall affix his/her seal, sign his/her name, and place the date of execution on all engineering and land surveying documents that have been issued by the licensee to a client or any public or governmental agency as completed work.
(a). In the case of a temporary permit issued to a licensee of another state, the licensee shall affix the seal of his/her state of licensure, his/her signature, the date of execution, and his/her Louisiana temporary permit number to all of his/her work.
ii. Drawings and Plats
(a). In the case of multiple sealings, the first sheet or title page shall be sealed and signed by the licensee or licensees in responsible charge. In addition, each sheet shall be sealed by the licensee or licensees responsible for each sheet.
(b). In the case of a firm, partnership or corporation, each sheet shall be sealed and signed by the licensee or licensees responsible for that sheet and the licensee(s) in responsible charge shall sign and seal the title page or first sheet.
iii. Specifications, reports, design calculations and information
(a). In the case of specifications or reports of multiple pages, the first sheet or title page of each document shall be sealed and signed by the licensee or licensees involved. Subsequent revisions shall be dated and initialed by the licensee in responsible charge whose seal and signature appears on the first sheet or title page.
(b). In the case of a firm, partnership or corporation, the licensee in responsible charge shall sign and seal the title page or first sheet.
b. Preliminary Work
i. All preliminary documents, so marked in large bold letters, shall contain a statement that the documents are not to be used for construction, bidding, recordation, conveyance, sales, or as the basis for the issuance of a permit. Preliminary documents are not required to have the licensee’s seal and signature affixed, but must bear the name and licensure number of the licensee, and the firm’s name, if applicable.
c. Exempt Work
i. No seal, signature nor date shall be required in any of the following situations:
(a). on any sewage facility project in which the estimated project cost of the sewage facility, plus installation but not including cost of fencing, does not exceed $5,000, as calculated by agency engineers reviewing the project;
(b). on any water facility project in which the estimated project cost of the facility, including lines, pumps, water treatment work and installation, does not exceed $5,000, as calculated by agency engineers reviewing the project; provided that such project does not cause a change in treatment, chemical addition, or any other process affecting either the quality or quantity of water being produced;
(c). on any project for the construction of individual/private water wells;
(d). on any project involving both water and sewage facilities, provided that the estimated project cost of each facility does not exceed $5,000, as calculated by agency engineers reviewing the project; or
(e). in-kind replacement of water or sewage facilities in which the estimated project cost of the replacement does not exceed $5,000 as calculated by agency engineers reviewing the project.
5. Electronic Transmission
a. Drawings, specifications, plans, reports or other documents which require a seal may be transmitted electronically provided the seal and signature of the licensee is transmitted in a secure mode that precludes the seal and signature being produced or modified. Drawings, reports or documents which are signed using a digital signature as defined in the rules shall contain the authentication procedure and a list of the hardware, software, and parameters used to prepare the document(s).
b. Drawings, specifications, plans, reports or other documents which do not require a seal may be transmitted electronically but shall have the generated seal, if any, removed before transmitting and shall have the following inserted in lieu of the signature and date. "This document originally issued and sealed by (name of licensee number and "date of sealing"). This document should not be considered a certified document."
Article # 9006 TEST QUESTIONS:
1. What shall a licensee hold paramount?
a. Themselves.
b. The public.
c. The Board.
d. All of the above.
2. If a licensee's judgment is overruled by a nontechnical authority what should he do?
a. Those in authority must be obeyed.
b. Call the police.
c. Clarify the point and or notify the proper authority.
d. All of the above.
3. When can a third party licensee revise the work of another licensee?
a. When engaged to do so by a client.
b. After the client furnishes all relevant documents from the previous licensee.
c. After the previous licensee is notified in writing.
d. All of the above.
4. When can a licensee make a statement inspired or paid for by an interested party?
a. When he prefaces his statement by identifying the party and interest in the subject.
b. When he prefaces his statement with a disclaimer that these are not his opinions.
c. When no one knows.
d. All of the above.
5. When can a computer generated seal be used?
a. When the document is to be sent digitally.
b. When it has a handwritten signature and date.
c. On all computer generated documents.
d. All of the above.
6. What must a seal have on it?
a. "State of Louisiana"
b. Licensee's name
c. License number
d. All of the above.
7. If standardized plans are made and sealed by an engineer from another state when can they be used in Louisiana?
a. The out of state engineer testifies to the work.
b. A Louisiana firm redoes the work.
c. A Louisiana licensed engineer takes responsibility for the work.
d. All of the above.
8. If a report or specification has multiple pages, how is it sealed?
a. Each page is sealed and signed.
b. The title page is sealed and signed.
c. The title page is sealed and all other pages initialed.
d. All of the above.
9. On sewage facility projects, what is the maximum estimated price for a job where no seal is needed?
a. $5,000
b. $10,000
c. $15,000
d. All of the above.
10. If documents are prepared outside the licensee's office what kind of evidence must be maintained?
a. Telephone logs.
b. Changes.
c. Site visit logs.
d. All of the above.
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