January/February 2014

LEGAL BEAT
Observing Unethical Conduct, Documents to Sign and Seal

BY ARTHUR SCHWARTZ, DEPUTY EXECUTIVE DIRECTOR AND GENERAL COUNSEL

Q I am a licensed professional engineer in my state and I have observed what I consider to be unethical conduct on the part of another professional engineer that has the potential to endanger the public health and safety. I know that I have an obligation to take action. What is the appropriate procedure to follow and what would be the nature and extent of my personal involvement? (Tennessee)

A According to the Tennessee State Board of Architectural and Engineering Examiners, complaints may be submitted via the board’s complaint form or in a written format that includes a description of the alleged violation and supporting documents. Complaints may be filed anonymously, although anonymous complaints are discouraged because they impede the board’s investigation. If a complainant chooses to file anonymously, the Tennessee board will still need the documentation that supports the allegation.

When the board receives the complaint, it will be reviewed to determine if there is a possibility of imminent danger to the public health, safety, and welfare. If that possibility exists, the complaint will be forwarded immediately to the board’s legal counsel. If not, a copy of the complaint will then be sent to the licensee who is the subject of the complaint, asking for a response within 14 business days. The complaint and the response will then be forwarded to the board’s legal counsel for review. If additional information is necessary, an investigation will be initiated. The board’s legal counsel will present the findings to the board, which has the sole authority to determine the appropriate action. The complainant will be notified of the board’s decision following a determination.

Q I am a licensed professional engineer offering professional engineering services to clients, and I am confused regarding my obligation to sign and seal certain engineering documents. I have been advised by one peer that my obligation is to sign and seal only those documents that are to be submitted to a public authority for approval. Another colleague advised me that I have an obligation to sign and seal all documents that are prepared for all public and private clients. Is there any guidance available? (Minnesota)

A State laws and regulations vary concerning the obligation regarding the signing and sealing of engineering documents, so if you are licensed in multiple states it is particularly important that you familiarize yourself with the requirements in each jurisdiction. Fortunately for your sake, the Minnesota Board of Architecture, Engineering, Land Surveying, Landscape Architecture, Geoscience and Interior Design recently issued specific guidance regarding this issue.

According to the board, Minnesota statutes require a licensee to provide a certified signature for each plan, drawing, specification, plat, report, or other document prepared by the licensed engineer or the licensed engineer under whose direct supervision it was prepared. With specific regard to reports, examples of reports that need to be signed and sealed include engineering reports that are submitted to a public agency and other engineering reports. Examples of engineering reports that do not need to be signed and sealed include intra-office or intra-company engineering reports and engineering reports that are clearly marked as drafts and/or preliminary.

Responses are based on questions posed to NSPE Legal Counsel Arthur Schwartz.

Are you an NSPE member with a legal question for this column? Send it to Arthur Schwartz, 1420 King St., Alexandria, VA 22314-2794; fax 703-836-4875; or e-mail [email protected].
These questions and answers do not, in any way, constitute legal advice. Always consult your own attorney before reaching any conclusions or acting upon any information presented in this forum. Also note that legal precedents change. An answer based on a case from several years ago may have a new perspective today.

NSPE provides highly rated engineering ethics education and training programs through its Deputy Executive Director and General Counsel Arthur Schwartz. For more than 25 years, Schwartz has written and spoken on a variety of professional practice issues and brings special insight into the field of engineering ethics. For scope of services and costs, please contact [email protected].