TopicEthics Issues of Land Surveying Profession

Presenter

Avinash PrasadPE, PLS, PhD(C), MSCE, MSEM, F.ASCE, M. AIA, M.AREMA, M.NYSAPLS, M.PMI, M.AISC, FF, EMT

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Avinash Prasad PE, PLS, PhD(C), MSCE, MSEM, F.ASCE, M.AIA, M.AREMA, M.NYSAPLS, M.PMI, M.AISC, FF, EMT

Mr. Avinash Prasad is a Licensed Professional Engineer, LandSurveyor with more than 25 years of professional experience incivil engineering & management field since his graduation inengineering. He is a Doctor of Philosophy (candidate) at NewYork University. His ongoing doctorate degree at NYU major isConstruction Management and minors are StructuralEngineering & Technology Management. He has doubleMasters of Science Degrees in Civil Engineering andEngineering Management from New Jersey institute oftechnology, NJ and BS Degree in Civil Engineering. He hasmore than 1000 hours of continuous professional education asinstructor/participating professional (1990-2017) excludingformal education. He is a (NJ) state certified emergencymedical technician (EMT), emergency medical responder(EMR), fire fighter (FF). He is also a certified CPR, AEDadminister. He is a FELLOW of American Society of CivilEngineers and also an active member of several professionalorganizations such as: AIA, AREMA, PMI, AISC, NYSAPLS,IPWE, IRT and IIBE. His research papers have been acceptedand published by several technical magazines includingRailway Age and Railway Track & structures. His technicalpapers were accepted in AREMA, ASCE & NYSAPLSconference proceedings for presentation and or publicationmultiple times.

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Author’s Salient Publications/Presentations•Eventscribe.com. (2017). 2017 Congress for the Committee on Technical Advancement. [online] Available at: https://www.eventscribe.com/2017/ASCE-CTA/agenda.asp?h=Full%20Schedule&BCFO=P%7CG%7CPO [Accessed 4 Aug. 2017].

•Railway Age. (2017). Light Rail 2017 + Rail Transit Finance Forum - Agenda. [online] Available at: http://www.railwayage.com/index.php/conference_details/light-rail-2017-agenda.html [Accessed 1 Apr. 2017].

•Prasad, A. (2016). Various Cost-Effective Maintenance Practices for Conventional Track Structures. Railway Track & Structures, [online] pp.29-31. Available at:http://www.rtands.com/index.php/track-maintenance/on-track-maintenance/various-cost-effective-maintenance-practices-for-conventional-track-structures.html?device=desktop [Accessed 10 Jul. 2017].

•Prasad, A. (2013). Suspension Bridges: Concepts and Various Innovative Techniques of Structural Evaluation. RT&S, [online] pp.33-35. Available at:http://www.rtands.com/index.php/track-structure/bridge-retaining-walls/suspension-bridges-concepts-and-various-innovative-techniques-of-structural-evaluation.html[Accessed 12 Mar. 2017].

•Prasad, A. (2011). Higher Diverging Speed Turnout Design in the Same Footprint. Railway Track and Structures, [online] pp.39-44. Available at:https://www.highbeam.com/doc/1G1-319803497.html [Accessed 11 Jun. 2017].

•Prasad, A. (2016). Various Cost Effective Maintenance Practices for Conventional Track Structure. [PDF] AREMA. Available at:https://www.arema.org/proceedings/proceedings_2016.aspx [Accessed 4 May 2017].

•Prasad, A. (2011). Turnout Design: Higher Diverging Speed in The Same Footprint. [PDF] AREMA. Available at: https://www.arema.org/proceedings/proceedings_2011.aspx[Accessed 6 Jul. 2017].

•Marzzoengineering.com. (n.d.). Marzzo Engineering, PLLC - All Instructor Profiles. [online] Available at: http://www.marzzoengineering.com/instructor_profile.html[Accessed 13 May 2017].

•Proposed Publication in Railway Age: 2018 Edition - Topic: “ Rail Accidents: Causes and Innovative Preventive Techniques”

•Presented two presentations “Mathematics for Engineers and Surveyors” and “ Ethics Issues of Engineering and Land Surveying” at Institution of Continuing Education,Fairfield in December 2017 to provide CEU to Engineers and Land Surveyors

•Proposed two presentations “Boundary Survey: How to Deal with Boundary Dispute Issues” & “Deed: How to Deal with Ambiguous Deed Descriptions” in ASCEsponsored UESI 2018 Surveying and Geomatics Conference to be held in California (April 2018) to provide CEU to Engineers and Land Surveyors

•Proposed two presentations “Mathematics for Surveyors” and “ Ethics Issues of Land Surveying” at Continuing Professional Education Services (CPES), Montclair, NJ inSpring 2018 to provide CEU to Engineers and Land Surveyors

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Disclaimer• Any opinions, findings and conclusions or recommendations expressed

in this materials do not reflect the views or policies of MTA-NYCT nordo mention of trade names, commercial product or organizations implyendorsement by MTA-NYCT.

• MTA-NYCT assumes no liability for the content or the use of thematerials contained in this document.

• The authors make no warranties and/or representation regarding thecorrectness, accuracy and or reliability of the content and/or othermaterial in the paper.

• The contents of this file are provided on an “as is” basis and withoutwarranties of any kind, are either expressed or implied.

• The contents of this report reflect the views of the author who isresponsible for the facts and the accuracy of the data presented herein.This report does not constitute a standard, specification, or regulation.

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Course Outline: (4:00PM TO 5:30PM)[With Proposed Time Increments (Subject to change) for Each Topics]

.Why maintaining high ethical standard is so important in land surveying profession: 10 Minutes

2. Land Surveying profession ethical issues: 15 Minutes

3. Professional land surveyor’s rights and obligations in dealing with

safety, health and welfare of the public in the performance of their

professional duties: 15 Minutes

BREAK- 10 Minutes

4. Pitfalls in Land Surveying Profession: 15 Minutes

5. How to maintain high ethical standard in surveying profession with

practical examples: 15 Minutes

6. Open Discussion and Q & A: 10 Minutes

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Presentation HighlightsThe Participants will learn:

• Why maintaining high ethical standard is so important in the Land Surveying profession

• Building a professional reputation

• Professional Land Surveyors’ rights and obligations in dealing with safety, health and welfare of the public in the performance of their professional duties.

• Misconception about ethics issues in land surveying profession

Topics Covered:

• Maintaining high ethical standards in the Land Surveying profession

• Performing services only in areas of competence

• Ethical professional competition

• Avoiding conflicts of interest

• Pitfalls in the Land Surveying profession

• Practical cases involving ethics issues of land surveying profession

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Presentation Highlights• Professional land surveyors uphold and advance the integrity,

honor, and dignity of the land surveyors' profession• by using their knowledge and skill for the enhancement of human welfare,

by being honest and impartial,

• by serving with fidelity the public, their employers and clients,

• by striving to increase the competence and prestige of the land surveyors'

profession, and

• by supporting the professional and technical societies of their disciplines.

• Professional land surveyors shall hold paramount the SAFETY,

HEALTH AND WELFARE of the public in the performance

of their professional duties.

• This seminar will consist of various practical ethical situations

and guide land surveyors in following the guidelines of

professional ethics.

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20Acceptable Continuing Education includes Courses and Educational Activities

•Courses: A minimum of 18 hours of continuing education mustbe completed in courses for professional engineers and aminimum of 16 hours of continuing education must becompleted in courses for land surveyors. All 36 hours forprofessional engineers or 24 hours for land surveyors may becompleted through acceptable courses.

•Educational Activities: A maximum of 18 hours may be ineducational activities for professional engineers and a maximumof 8 hours may be in educational activities for land surveyors.

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20Ethics Course Requirement in Continuing Education for Professional Engineers and Land Surveyors

ONE hour of professional ethics must betaken as either a course or educationalactivity every registration period. Thisrequirement becomes effective for registrationperiods beginning August 1, 2011 and after.

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Ethics Definition- Blacks’s Law Dictionary

Of or related to moral action, conduct, motive or character; as , ethicalemotion; also , treating of moral feelings, duties or conduct; containingprecepts of morality; moral. Professionally right or befitting; conformingto professional standards of conduct. Kraushaar v. La Vin,181 Misc. 508,42 N.Y.S.2d 857, 859.

It can be defined as• A study of standards of right and wrong

• Philosophy dealing with moral conduct, duty and judgement when dealing with others.

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Ethics: Definition

To present the responsibility for ethical behavior thatengineers and or land surveyors have in performance ofduties while providing services to public.

Three basic points are to be considered while serving the public

• Safety• Welfare• Health

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1Topics in Professional Ethics

• Consider various definitions of professional ethics

• Review where to find applicable codes of ethics

• Analyze when and why ethics are tested

• Evaluate potential consequences of ethical violations

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2Miscellaneous Definitions Related to Ethical Issues

• Business• Bribe • Confidential Information• Conflict of Interest• Employment• Fundraising • Gift• Honorarium• Kickback• Policy Making Position• Solicitation

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Why Maintaining High Ethical Standard is so Important in Land Surveying Profession:

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3Ethics: Right Vs. Wrong

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4Ethics: Ethical Vs. Legal

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5Ethics: Is Right/Wrong Way Depends?

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6Ethics: Is there any Right way to Do Wrong Thing

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7Ethics and Morals

• Ethics and Morals relate to “right” and “wrong”conduct.

While they are sometimes used interchangeably, they aredifferent:

• Ethics refer to rules provided by an external source,e.g., codes of conduct in workplaces or principles inreligions.

• Morals refer to an individual’s own principlesregarding right and wrong.

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7Ethics vs. Morals Comparison Chart

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8Ethics in Engineering/Surveying Profession

• Engineering/Surveying is considered to be a "profession"rather than an "occupation"

• Professions are based on a large knowledge base requiringextensive training. Professional skills are important to thewell-being of society.

• Professionals have autonomy in the workplace; they areexpected to utilize their independent judgment in carryingout their professional responsibilities.

• Professions are regulated by ethical standards.

• No code can give immediate and mechanical answers to allethical and professional problems that an engineer/Landsurveyor may face.

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8Model Rules, Section 240.15, Rules of Professional Conduct

A. Licensee's Obligation to Society

B. Licensee's Obligation To Employer and Clients

C. Licensee's Obligation to Other Licensees

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8Licensee's Obligation to Society1. Licensees, in the performance of their services for clients, employers, and customers,shall be cognizant that their first and foremost responsibility is to the public welfare.2. Licensees shall approve and seal only those design documents that conform toaccepted engineering/surveying standards and safeguard the safety, welfare and healthof the public.3. Licensees shall notify the concerned authority when their professional judgment isoverruled under circumstances where the life, health, property, or welfare of the publicis endangered.4. Licensees shall be objective and truthful in professional reports, statements, ortestimony. They shall include all relevant and pertinent information in such reports,statements, or testimony.5. Licensees shall express a professional opinion publicly only when it is founded uponan adequate knowledge of the facts and a competent evaluation of the subject matter.6. Licensees shall issue no statements on technical matters which are paid for byinterested parties, unless they explicitly identify the interested parties on whose behalfthey are speaking.7. Licensees shall not permit the use of their name or firm name which is engaging infraudulent or dishonest business or professional practices.8. Licensees having knowledge of possible violations of various Rules of ProfessionalConduct shall provide the board assistance necessary to make the final determination ofsuch violation.

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8Licensee's Obligation To Employer and Clients1. Licensees shall undertake assignments only when qualified by education or experience

in the specific technical fields of engineering or surveying involved.2. Licensees shall not affix their signatures or seals to any documents in which they lack

competence, nor to any such document not prepared under their directcontrol/supervision.

3. Licensees may accept assignments for coordination of an entire project, provided thateach segment is signed and sealed by the licensee responsible for their preparation

4. Licensees shall not reveal facts/information obtained in a professional capacitywithout the prior consent of the client or employer except as authorized or requiredby law.

5. Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors,their agents, or other parties in connection with work for employers or clients.

6. Licensees shall make full prior disclosures to their employers or clients of potentialconflicts of interest or other circumstances which could influence or appear toinfluence their judgment or the quality of their service.

7. Licensees shall not accept compensation from more than one party for servicespertaining to the same project, unless the circumstances are fully disclosed.

8. Licensees shall not solicit or accept a professional contract from a governmental bodyon which a principal or officer of their organization serves as a member.

9. Licensees serving for a government body or department, shall not participate indecisions with respect to professional services provided by their beneficiaries.24

8Licensee's Obligation to Other Licensees

1. Licensees shall not falsify or permit misrepresentation of their, ortheir associates', academic or professional qualifications.

2. Licensees shall not misrepresent or exaggerate their degree ofresponsibility in prior assignments nor the complexity of saidassignments.

3. Licensees shall not offer, give, solicit, or receive, either directly orindirectly, any commission, or gift, or other valuable considerationin order to secure work.

4. Licensees shall not make any political contribution with the intentto influence the award of a contract by public authority.

5. Licensees shall not attempt to injure, maliciously or falsely, theprofessional reputation, prospects, practice, or employment ofother licensees, nor indiscriminately criticize other licensees' work.

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Code of Ethics for Professional Land Surveyors of Colorado Hereinafter (“Surveyors”) Adopted February 18, 1978 Amended 2010

SCOPE

This code is specific for surveyors as professionals.The scope of this code is limited to the actions ofsurveyors in their relations with the following:

I. General Public

II. Client and Employers

III. Other Land Surveyors and Employees

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I. The General Public:

A. Community ObligationsSurveyors have a duty• To concern themselves with community improvements and• To apply their special skills and knowledge for the benefit of fellow surveyors and for

mankind.

B. Professional Image• Surveyors have an obligation to contribute to the public knowledge of surveying. The

conduct of surveyors must be such as to impress the layman with the dignity andhonor of the profession of surveying.

• Surveyors must defend it against misrepresentation and ignorance, and shall not standidly by when it is destructively criticized.

• Surveyors shall not associate with any enterprise of questionable character.• Surveyors will diligently and faithfully execute their role according to the law, and

maintain their objectivity, without prejudice or favor towards or against the client orthe public.

Code of Ethics for Professional Land Surveyors of Colorado Hereinafter (“Surveyors”) Adopted February 18, 1978 Amended 2010

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Code of Ethics for Professional Land Surveyors of Colorado Hereinafter (“Surveyors”) Adopted February 18, 1978 Amended 2010

II. Clients and EmployersA. Duties to Client and Employer –

• The professional services of surveyors are of such a nature as torequire the confidence and trust of their clients or employer.

• Surveyors must not undertake questionable projects or those forwhich they are not qualified.

B. Compensation –

• The skill, technical training, broad experience and diligencerequired in the performance of the surveyor’s professional servicetogether with the risk of liability, entitles the surveyor tocommensurate remuneration.

• The client has a right to an estimate of the cost to the client of thesurveyor’s professional services.

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Code of Ethics for Professional Land Surveyors of Colorado Hereinafter (“Surveyors”) Adopted February 18, 1978 Amended 2010

III. Other Land Surveyors and EmployeesA. Cooperation-• It is a mutual responsibility among surveyors to protect their

fellow professionals from misrepresentation.• It is necessary for surveyors to promptly present evidence of

unethical, illegal or incompetent actions by other surveyors to theproper authority.

• Surveyors should also encourage the professional development ofsurveyors in their employ.

B. Competition –• Surveyors should be selected on the basis of their high

qualifications for the particular project and for their specificintegrity.

• Surveyors should not use any special advantage to competeunfairly with another surveyor.

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9National Society of Professional Surveyors – Creed and Canon

Surveyor's Creed and CanonsAs a Professional Surveyor, I dedicate my professional knowledge

and skills to the advancement and betterment of human welfare.

I pledge:

To give the utmost of performance;

To participate in none but honest enterprise;

To live and work according to the laws of humankind and the

highest standards of professional conduct;

To place service before profit, honor and standing of the profession

before personal advantage, and the public welfare above all other

considerations;

In humility and with need for Divine Guidance, I make this pledge.

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9National Society of Professional Surveyors – Creed and Canon (7 Nos.)

Surveyor's Creed and CanonsCanon 1. A Professional Surveyor should refrain from conduct thatis detrimental to the public.

Canon 2. A Professional Surveyor should abide by the rules andregulations pertaining to the practice of surveying within thelicensing jurisdiction.

Canon 3. A Professional Surveyor should accept assignments only inone's area of professional competence and expertise.

Canon 4. A Professional Surveyor should develop and communicatea professional analysis and opinion without bias or personalinterest.

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9National Society of Professional Surveyors – Creed and Canon (7 Nos.)

Surveyor's Creed and CanonsCanon 5. A Professional Surveyor should maintain the confidentialnature of the surveyor-client relationship.

Canon 6. A Professional Surveyor should use care to avoidadvertising or solicitation that is misleading or otherwise contraryto the public interest.

Canon 7. A Professional Surveyor should maintain professionalintegrity when dealing with members of other professions

10NYSAPLS-Canons of Ethics for Land Surveyors (10 Nos.)

It shall be considered unprofessional and inconsistent with honorable and dignified conduct and contrary to the public interest for any member of the New York State Association of Professional Land Surveyors:

1. To act for the practitioner’s client or employer otherwise than as a faithful agent or trustee.

2. To accept remuneration for services rendered other than from thepractitioner’s client or employer.

3. To attempt to supplant another Land Surveyor in a particularengagement after definite steps have been taken toward thepractitioner’s employment.

4. To attempt to injure, falsely or maliciously, the professionalreputation, business, or employment position of another LandSurveyor.

5. To review the work of another Land Surveyor for the same client,except with the knowledge of such Land Surveyor, unless such LandSurveyor’s engagement on the work which is subject to review hasbeen terminated.

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10NYSAPLS-Canons of Ethics for Land Surveyors (10 Nos.)

It shall be considered unprofessional and inconsistent with honorable and dignified conduct and contrary to the public interest for any member of the New York State Association of Professional Land Surveyors:

6. To advertise Land Surveying services in self-laudatory language, or in any other manner derogatory to the dignity of the profession.

7. To use the advantages of a salaried position to compete unfairlywith other Land Surveyors.

8. To exert undue influence or to offer, solicit or accept compensationfor the purpose of affecting negotiation for any Land Surveyingengagement.

9. To act in any manner derogatory to the honor, integrity or dignityof the Land Surveying profession.

10. To state on a map, plat or otherwise that the survey meets theminimum standards set forth in the NYSAPLS Code of Practice,when it does not.

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10NYSAPLS:Canons of Ethics

Article 1: “It shall be considered unprofessional… To act for thepractitioner’s client or employer otherwise than as a faithful agent ortrustee.”

Article 2. “It shall be considered unprofessional… To acceptremuneration for services rendered other than from the practitioner’sclient or employer.”

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10NYSAPLS:Canons of Ethics

Article 3: “It shall be considered unprofessional… To attempt tosupplant another Land Surveyor in a particular engagement afterdefinite steps have been taken toward his or her employment.”

Article 4: “It shall be considered unprofessional… To attempt to injure,falsely or maliciously, the professional reputation, business, oremployment position of another Land Surveyor.”

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10NYSAPLS:Canons of Ethics

Article 5: “It shall be considered unprofessional… To review the workof another Land Surveyor for the same client, except with theknowledge of such Land Surveyor, unless such Land Surveyor’sengagement of the work which is subject to review has beenterminated and he or she has been compensated for his or her work.”

Article 6: “It shall be considered unprofessional… To advertise LandSurveying service in self-laudatory language, or in any other mannerderogatory to the dignity of the profession.”

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10NYSAPLS:Canons of Ethics

Article 7. “It shall be considered unprofessional… To use the advantagesof a salaried position to compete unfairly with other Land Surveyors.”

Article 8: “It shall be considered unprofessional… To exert undueinfluence or to offer, solicit or accept compensation for the purpose ofaffecting negotiations for any Land Surveying engagement.

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10NYSAPLS:Canons of Ethics

Article 9: “It shall be considered unprofessional… To act in anymanner derogatory to the honor, integrity or dignity of the LandSurveying profession.”

Article 10: “It shall be considered unprofessional…

• To state on a map, plat or otherwise that the survey meets theminimum standards set forth in the NYSAPLS Code of Practice,when it does not.

• The practitioner shall not mislead the public by makingstatement(s) of fact if the statement is not supported by therequirements.

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11NYS Board Ethics Guidelines

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11NYS Board Ethics Guidelines

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29.1 General provisions.a.Unprofessional conduct shall be the conduct prohibited by this section. The provisions of these rules applicable to a particular profession may define additional acts or omissions as unprofessional conduct and may establish exceptions to these general prohibitions.

b.Unprofessional conduct in the practice of any profession licensed, certified or registered pursuant to title VIII of the Education Law, except for cases involving those professions licensed, certified or registered pursuant to the provisions of Article 131 or 131-B of such law in which a statement of charges of professional misconduct was not served on or before July 26, 1991, the effective date of Chapter 606 of the Laws of 1991, shall include:

1. willful or grossly negligent failure to comply with substantial provisions of Federal, State or local laws, rules or regulations governing the practice of the profession;

2. exercising undue influence on the patient or client, including the promotion of the sale of services, goods, appliances or drugs in such manner as to exploit the patient or client for the financial gain of the practitioner or of a third party;

3. directly or indirectly offering, giving, soliciting, or receiving or agreeing to receive, any fee or other consideration to or from a third party for the referral of a patient or client or in connection with the performance of professional services;

4. permitting any person to share in the fees for professional services, other than: a partner, employee, associate in a professional firm or corporation, professional subcontractor or consultant authorized to practice the same profession, or a legally authorized trainee practicing under the supervision of a licensed practitioner. This prohibition shall include any arrangement or agreement whereby the amount received in payment for furnishing space, facilities, equipment or personnel services used by a professional licensee constitutes a percentage of, or is otherwise dependent upon, the income or receipts of the licensee from such practice, except as otherwise provided by law with respect to a facility licensed pursuant to Article 28 of the Public Health Law or Article 13 of the Mental Hygiene Law;

11NYS Board Ethics Guidelines

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29.1 General provisions.5. conduct in the practice of a profession which evidences moral unfitness to practice the profession;

6. willfully making or filing a false report, or failing to file a report required by law or by the Education Department, or willfully impeding or obstructing such filing, or inducing another person to do so;

7. failing to make available to a patient or client, upon request, copies of documents in the possession or under the control of the licensee which have been prepared for and paid for by the patient or client;

8. revealing of personally identifiable facts, data or information obtained in a professional capacity without the prior consent of the patient or client, except as authorized or required by law;

9. practicing or offering to practice beyond the scope permitted by law, or accepting and performing professional responsibilities which the licensee knows or has reason to know that he or she is not competent to perform, or performing without adequate supervision professional services which the licensee is authorized to perform only under the supervision of a licensed professional, except in an emergency situation where a person's life or health is in danger;

10. delegating professional responsibilities to a person when the licensee delegating such responsibilities knows or has reason to know that such person is not qualified, by training, by experience or by licensure, to perform them;

11. performing professional services which have not been duly authorized by the patient or client or his or her legal representative;

11NYS Board Ethics Guidelines

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29.1 General provisions.12. advertising or soliciting for patronage that is not in the public interest:

i. Advertising or soliciting not in the public interest shall include, but not be limited to, advertising or soliciting that:a. is false, fraudulent, deceptive or misleading;b. guarantees any service;c. makes any claim relating to professional services or products or the cost or price therefore which cannot be substantiated by the

licensee, who shall have the burden of proof;d. makes claims of professional superiority which cannot be substantiated by the licensee, who shall have the burden of proof; ore. offers bonuses or inducements in any form other than a discount or reduction in an established fee or price for a professional

service or product.

12. ii. The following shall be deemed appropriate means of informing the public of the availability of professional services:a. informational advertising not contrary to the foregoing prohibitions; andb. the advertising in a newspaper, periodical or professional directory or on radio or television of fixed prices, or a stated range of

prices, for specified routine professional services, provided that if there is an additional charge for related services which are an integral part of the overall service being provided by the licensee, the advertisement shall so state, and provided further that the advertisement indicates the period of time for which the advertised prices shall be in effect.

12. iiia. all licensees placing advertisements shall maintain, or cause to be maintained, an exact copy of each advertisement, transcript,

tape or videotape thereof as appropriate for the medium used, for a period of one year after its last appearance. This copy shall be made available for inspection upon demand of the Education Department;

b. a licensee shall not compensate or give anything of value to representatives of the press, radio, television or other communications media in anticipation of or in return for professional publicity in a news item;

12. iv Testimonials, demonstrations, dramatizations, or other portrayals of professional practice are permissible provided that they otherwise comply with the rules of professional conduct and further provided that the following conditions are satisfied:

a. the patient or client expressly authorizes the portrayal in writing;b. appropriate disclosure is included to prevent any misleading information or imagery as to the identity of the patient or

client;c. reasonable disclaimers are included as to any statements made or results achieved in a particular matter;d. the use of fictional situations or characters may be used if no testimonials are included; ande. fictional client testimonials are not permitted;

11NYS Board Ethics Guidelines

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29.1 General provisions.

13. failing to respond within 30 days to written communications from the Education Departmentor the Department of Health and to make available any relevant records with respect to aninquiry or complaint about the licensee's unprofessional conduct. The period of 30 days shallcommence on the date when such communication was delivered personally to the licensee. Ifthe communication is sent from either department by registered or certified mail, with returnreceipt requested, to the address appearing in the last registration, the period of 30 days shallcommence on the date of delivery to the licensee, as indicated by the return receipt;

14. violating any term of probation or condition or limitation imposed on the licensee by theBoard of Regents pursuant to Education Law, Section 6511.

11NYS Board Ethics Guidelines

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29.3* General provisions for design professions.(*NB Effective November 21, 2016)

A. Unprofessional conduct shall also include, in the professions of architecture and landscapearchitecture, engineering, land surveying and geology:

being associated in a professional capacity with any project or practice known to the licensee to be fraudulentor dishonest in character, or not reporting knowledge of such fraudulence or dishonesty to the Education

Department;

1. failing to report in writing to the owner or to the owner's designated agent any unauthorized or improperlyauthorized substantial disregard by any contractor of plans or specifications for construction or fabrication,when professional observation or supervision of the work is provided for in the agreement between the ownerand the design professional or when supervision of the work is under the control of the design professional;…………………………………………………………………………………………………………………………………………

10. in the profession of land surveying, the revision, alteration, or update of any existing boundary surveywithout adequate confirmation of relevant boundary lines and monuments. To be adequate, such confirmationshall include a reasonable field verification and shall be sufficiently extensive to reasonably ensure theaccuracy of the revision, alteration, or update, as appropriate to the circumstances of the revision, alteration, orupdate.

11NYS Board Ethics Guidelines

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29.3* General provisions for design professions.(*NB Effective November 21, 2016)

B. Unprofessional conduct shall not be construed to include:

1. the employment, with the knowledge of the client, of qualified consultants to perform work in which the consultant has special expertise. This provision shall apply in conjunction with Section 29.1(b)(9) of this Part; and

2. participation as a delegator, or delegatee in delegating or accepting delegation, through an intermediate entity not authorized to provide professional design services, of specifically defined work involving the performance of a design function requiring a professional license, under the following terms, conditions and limitations:

i. such specifically defined design work shall be limited to project components ancillary to the main components of the project;ii. the delegator shall specify in writing to the delegatee all parameters which the design must satisfy;iii. the design function shall be required to be performed in accordance with performance specifications established by the delegator;iv. the delegatee shall be required to be licensed or otherwise legally authorized to perform the design work involved and shall be required

to sign and certify any design prepared;v. the delegator shall be required to review and approve the design submitted by the delegatee for conformance with the established

specifications and parameters and such determination shall be in writing; andvi. the delegator shall be required to determine that the design prepared by the delegatee conforms to the overall project design and can be

integrated into such design and such determination shall be in writing.

3. As used in paragraph (2) of this subdivision:

i. Delegator means a primary design team or team of design professionals which may be composed of professional engineers, land surveyors, architects and landscape architects acting either alone or in combination, licensed and registered in accordance with Articles 145, 147 or 148 of the Education Law, and authorized to provide the services being delegated.

ii. Intermediate entity means a person or entity, typically a contractor or subcontractor, responsible for performing the work under the contract for construction.

iii. Delegatee means a design professional, licensed and registered in accordance with Articles 145, 147 or 148 of the Education Law, who isemployed or retained by the intermediate entity to produce design work in compliance with the performance requirements and parameters specified by a delegator.

iv. Certify means a written statement by a licensee confirming responsibility for the work and attesting that the work prepared meets the specifications (as well as conforming to governing codes applicable at the time the work was prepared), and conforms to prevailing standards of practice.

12ASQ(American Society of Quality) Code of Ethics

To uphold and advance the honor and dignity of the profession, and in keeping with high standards of ethical conduct I acknowledge that I

• Will be honest and impartial, and will serve with devotion my employer, my clients, and the public.

• Will strive to increase the competence and prestige of the profession.

• Will use my knowledge and skill for the advancement of human welfare, and in promoting the safety and reliability of products for public use.

• Will earnestly endeavor to aid the work of the Society.

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12Relations With the Public

• Will do whatever I can to promote the reliability and safety of all products that come within my jurisdiction.

• Will endeavor to extend public knowledge of the work of the Society and its members that relates to the public welfare.

• Will be dignified and modest in explaining my work and merit.

• Will preface any public statements that I may issue by clearly indicating on whose behalf they are made

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12Relations With Employers and Clients.”

• Will act in professional matters as a faithful agent or trustee for eachemployer or client.

• Will inform each client or employer of any business connections,interests, or affiliations which might influence my judgment or impairthe equitable character of my services.

• Will indicate to my employer or client the adverse consequences to beexpected if my professional judgment is overruled.

• Will not disclose information concerning the business affairs ortechnical processes of any present or former employer or client withouthis consent.

• Will not accept compensation from more than one party for the sameservice without the consent of all parties. If employed, I will engage insupplementary employment of consulting practice only with theconsent of my employer

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12Relations With Peers

• Will take care that credit for the work of others is givento those whom it is due.

• Will endeavor to aid the professional development andadvancement of those in my employ or under mysupervision.

• Will not compete unfairly with others; will extend myfriendship and confidence to all associates and thosewith whom I have business relations.

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13NCARB Code of Ethics

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14AIA (American Institute of Architects)2012 Code of Ethics & Professional Conduct

Preamble

Members of The American Institute of Architects arededicated to the highest standards of professionalism,integrity, and competence. This Code of Ethics andProfessional Conduct states guidelines for the conduct ofMembers in fulfilling those obligations. The Code isarranged in three tiers of statements:

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15“Standard of Care”

“The Architect is required to do what areasonably prudent Architect would do in thesame community and in the same time frame,given the same or similar facts orcircumstances”

This definition is applicable to any profession

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15Professional Conduct

It includes following responsibilities:

• Competence• Willful Misconduct• Conflict of Interest• Full Disclosure• Copyright Infringement• Informed Consent

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16Canons, Ethical Standards, and Rules of Conduct:

• Canons are broad principles of conduct.

• Ethical Standards (E.S.) are more specific goals towardwhich Members should aspire in professionalperformance and behavior.

• Rules of Conduct (Rule) are mandatory; violation of aRule is grounds for disciplinary action by the Institute.Rules of Conduct, in some instances, implement morethan one Canon or Ethical Standard.

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16Canon I: General Obligations

Members should maintain and advance their knowledge ofthe art and science of architecture, respect the body ofarchitectural accomplishment, contribute to its growth,thoughtfully consider the social and environmental impactof their professional activities, and exercise learned anduncompromised professional judgment.

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16Canon II: Obligations to the Public

Members should embrace the spirit and letter of the lawgoverning their professional affairs and should promoteand serve the public interest in their personal andprofessional activities.

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16Canon III: Obligations to the Client

Members should serve their clients competently and in aprofessional manner, and should exercise unprejudiced andunbiased judgment when performing all professionalservices.

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16Canon IV: Obligations to the Profession

Members should uphold the integrity and dignity of theprofession.

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16Canon V: Obligations to Colleagues

Members should respect the rights and acknowledge theprofessional aspirations and contributions of theircolleagues.

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16Canon VI: Obligations to the Environment

Members should promote sustainable design anddevelopment principles in their professional activities.

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17Test Your Knowledge of Law and Practice (QUIZ)As a licensed professional in New York State, it is your professional responsibility to knowthe legal requirements governing the practice of your profession and to be alert to changesin those requirements.

To help you, this self-administered exam, developed by the State Board for Engineeringand Land Surveying, is intended to provide you with a measure of your workingknowledge of those requirements. Full knowledge will help avoid pitfalls that can lead tocharges of professional misconduct.

There are 15 questions relate to Education Law, Articles 145, Parts 68 of the Regulations ofthe Commissioner of Education, and Part 29 of the Rules of the Board of Regents.

Select one answer for each question. An overall score of 100% is perfect; a score 75% to95% is good; a score below 75% means you may be in danger of violating yourprofessional practice act.

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As a licensed professional in New York State, it is your professionalresponsibility to know the legal and ethical requirements governing thepractice of your profession and to be alert to changes in thoserequirements.

The New York State Board for Engineering and Land Surveying, in aneffort to help you stay abreast of your professional responsibilities, hasdeveloped this short, self-study educational activity in ethics.

This educational activity is based on the New York State EducationLaw Articles 130 and 145, the Rules of the Board of Regents Parts 1, 3,17, 18, 28, 29, 31, and the Regulations of the Commissioner ofEducation Parts 59 and 68.

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18Continuing Education Self Study Educational Activityfor Land Surveyors (Ethics Topic)

19Continuing Education Self Study Educational Activity for Professional Engineers (Ethics Topic)

As a licensed professional in New York State, it is your professionalresponsibility to know the legal and ethical requirements governingthe practice of your profession and to be alert to changes in thoserequirements.

The New York State Board for Engineering and Land Surveying, inan effort to help you stay abreast of your professional responsibilities,has developed this short, self-study educational activity in ethics.

This educational activity is based on the New York State EducationLaw Articles 130 and 145, the Rules of the Board of Regents Parts 1,3, 17, 18, 28, 29, 31, and the Regulations of the Commissioner ofEducation Parts 59 and 68. It is strongly recommended that, prior totaking the self test, you review these foundational materials on theengineering web site.

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2Pitfalls & Various Consequences by not following Ethics Guidelines

•Sanction•Disciplinary Proceeding•Fine•Penalty•Mandatory Training•Censure•Probation•Conditional Reinstatement•Suspension•Revocation•Surrender•Expulsion

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How to Maintain High Ethical Standard in Surveying Profession with Practical Examples

• Ethics Issues related to Office Work:

:Practical Examples

• Ethics Issues related to Personal Work

: Practical Examples

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References(1 of 2)1. https://www.rlicorp.com/sites/default/files/pdf/dple/webinar_021815_DPLE149.pdf RLI Design Professionals. “Just the FAQs on Ethics.” 18 Feb. 2015.

2. MTA-All agency Code of Ethics

3. https://www.istockphoto.com/photos/road-sign-of-right-vs-wrong-decision?excludenudity=true&sort=mostpopular&mediatype=photography&phrase=road%20sign%20of%20right%20vs%20wrong%20decision.)

4. http://www.nasw-michigan.org/?page=EthicsNational Association of Social Workers. “Ethics.” National Association of Social Workers-Michigan Chapter, 2018, www.nasw-michigan.org/?page=Ethics

5. http://trymyrabbi.com/sermons/lack-of-ethics Reimer, and Wohlberg. “Lack of Ethics.” RSS, 6 Jan. 2013, trymyrabbi.com/sermons/lack-of-ethics.

6. http://www.paigntonacademy.org/ethics-revision-sessions/Paignton Community and Sports Academy. “Ethics Revision Sessions.” PCSA, 7 Mar. 2014, www.paigntonacademy.org/ethics-revision-sessions/.

7. https://www.diffen.com/difference/Ethics_vs_MoralsJasuja, et al. “Ethics vs Morals.” Diffen, 2017, www.diffen.com/difference/Ethics_vs_Morals.

8. NCEES FE Reference Handbook. 9.2 ed., National Council of Examiners for Engineering and Surveying, 2013.

9. http://www.nsps.us.com/index.cfm?fuseaction=Page.viewPage&pageId=1261&parentID=473&nodeID=2

10. http://www.nysapls.org/?canons

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References(2 of 2)11. www.op.nysped.gov/title8/part29.htm

12. http://www.alexandriamarketing.com/docs/ethics_asq.pdfAmerican Society for Quality. “ASQ Code of Ethics.

13. http://www.ncarb.org/Forms/roconduct.pdf

14. https://aianova.org/pdf/codeofethics.pdfThe American Institute of Architects. “2012 Code of Ethics and Professional Conduct.” Virginia, Virginia, 2012.

15. Architectural Handbook of Professional Practice

16. https://aianova.org/pdf/codeofethics.pdf

The American Institute of Architects. “2012 Code of Ethics and Professional Conduct.” Virginia, Virginia, 2012.

17. http://www.op.nysed.gov/prof/pels/peselftest.htm

University of the State of New York. “Test Your Knowledge of Law and Practice.” NYSED.gov, 2010,

www.op.nysed.gov/prof/pels/peselftest.htm

18. http://www.op.nysed.gov/prof/pels/lsceselftest.htm

University of the State of New York. “Continuing Education Self Study Educational Activity for Land Surveyors.” NYSED.gov,

2017, www.op.nysed.gov/prof/pels/lsceselftest.htm

19. http://www.op.nysed.gov/prof/pels/peceselftest.htm

University of the State of New York. “Continuing Education Self Study Educational Activity for Professional

Engineers.” NYSED.gov, 2017, www.op.nysed.gov/prof/pels/peceselftest.htm

20. http://www.op.nysed.gov/prof/pels/peceques.htm

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Additional Research work on Ethics Issues of Any Profession

Being a professional in the field of

• Professional Engineering, • Architecture, • Home Inspection, • Project Management Professional, • Emergency Medical Service, • Fire Fighting;

I have to follow the various ethical guidelines in above mentioned profession. I will come up with additional Ethics Issues of above mentioned profession in my future presentation.

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Acknowledgements

My special thanks go to:

• Mrs. Indira, Ms. Purnima and Ms. Prayaga fortheir innovative thoughts and proof reading thispresentation.

• Mrs. Sachi Srivastava for her blessings in

completing this presentation.

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THANK YOU!!!

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