Central States Water Environment Association 90th
Central States Water Environment Association 90th Annual Meeting May 24, 2017 Presenter:
Kristine A. Kubes, J.D., Kubes Law Office, PLLC Past Chair, MN Board of AELSLAGID © Kubes Law Office, PLLC 2017
Ethics, eth-ics: n.pl. The study of standards of conduct and moral judgment; * * The system or code of morals of a particular person, * * * group, profession. Webster’s New World College Dictionary, Third Edition, at 466.
Ethical, ethi-cal adj. Conforming to the standards of conduct of a given profession or group. Webster’s New World College Dictionary, Third Edition, at 466
© Kubes Law Office, PLLC 2017
Learner Outcomes: Rules of Professionalism and Ethics How Rules protect the public, health, safety, welfare How to identify ethical dilemmas in practice - both in
the office and in the field How to empower your practice - doing the right thing; using the Complaint Process as a method for protecting the practice of engineering
© Kubes Law Office, PLLC 2017
Do ethics really matter?
© Kubes Law Office, PLLC 2017
Design Firms' Ex-Execs Get Jail in Pay-to-Play Schemes
© Kubes Law Office, PLLC 2017
Professionals agree: NSPE NSPS
AIA Ethics ASLA
ASID AIPG
Ethics are a good thing. © Kubes Law Office, PLLC 2017
Ethics’ Foundation Principles C
Enhance Honor of Profession
O N F I D E
Honesty + Integrity
N T
HSW
Avoid Conflicts of Interest
I A L I T Y
© Kubes Law Office, PLLC 2017
Competence
Kristine’s Invitation: Consider culture See yourself as the role model you are Leaders and Mentors Eyes are on you
Start with you Reflect Evaluate Take your own accounting © Kubes Law Office, PLLC 2017
Professional Licensure :
A State’s First Step Toward Ethical Practice • • • •
Board sets minimum standards Educates Imposes Rules of Conduct Issues discipline © Kubes Law Office, PLLC 2017
Licensing Boards: Illinois: www.idfpr.com/profs/Boards/profeng.asp
Minnesota: www.aelslagid.state.mn.us
Wisconsin: http://dsps.wi.gov/LicensesPermits/Engineer
© Kubes Law Office, PLLC 2017
Boards’ Missions Licensing Protect public health, safety, welfare Provide reasonable assurance of
competent, ethical practitioners with the necessary knowledge and skills appropriate to their title and role.
© Kubes Law Office, PLLC 2017
Enforcement of Compliance: Disciplinary Action Authority under statute Self-regulated profession Complaint Forms online MN confidential process WI Open Records Law After Order, public has access
© Kubes Law Office, PLLC 2017
Disciplinary Process State Office advised by legal counsel Investigation, if facts warrant Scope of work/meetings Discipline, if facts warrant Resolve via stipulated agreement or
contested case hearing
© Kubes Law Office, PLLC 2017
Disciplinary Action Issue Cease & Desist Order Suspend or revoke license Impose civil penalty Impose a fee for costs of proceedings WI: Summary Suspension, followed by
investigation
© Kubes Law Office, PLLC 2017
When is license required in IL, MN, and WI? To practice or to offer to practice 225 ILCS 325 Minn. Stat. § 326.02, subd. 1 WI Stat. 443.02 (1)
© Kubes Law Office, PLLC 2017
When a License is Not Required Exemptions MN Exemption Table
MN Statute § 326.02, Subd. 5 MN Rule 1800.5900 WI Statute 443.14 Exempt persons WI Statute 443.15 Exempt buildings IL Exemptions 225 ILCS 325/3
© Kubes Law Office, PLLC 2017
Privileges and Responsibilities Holding a license is a privilege Consequence of noncompliance with law With each privilege comes a corresponding
professional responsibility
© Kubes Law Office, PLLC 2017
Rules of Professional Conduct Outlines licensee’s professional responsibility Minn. Rules 1805 et seq. WI Code Ch. A-E 8 IL Rules 1380.300 Imputed knowledge
© Kubes Law Office, PLLC 2017
Ethics Begins with YOU License Decisions Choices
© Kubes Law Office, PLLC 2017
Ignorance is No Excuse. Study Up. Education
Compliance.
Know better. Do better.
© Kubes Law Office, PLLC 2017
Personal and Professional Conduct
Honesty/Integrity Conduct self and business with integrity True and accurate representation of qualifications True and accurate estimate of cost and time Avoid conduct that diminishes confidence in profession No offers to work outside competency No fraudulent advertising No representation of partnership/firm unless it exists No referral fees unless full disclosure © Kubes Law Office, PLLC 2017
Professional Conduct
Competency/Qualifications Licensee shall: Only seek and engage work for which licensee is competent and qualified to complete Use reasonable care in performing work Licensee shall not: Falsify/misrepresent qualifications Falsify/misrepresent responsibility in prior work Give any money/gift to induce getting a job
© Kubes Law Office, PLLC 2017
Professional Conduct
Avoid Conflicts of Interest Where financial interest would impair ability to be
faithful and responsible professional Payment on same project from more than one party unless unity of interest among parties. No pay/gifts to get work No pay/gifts from suppliers to spec/endorse No work for client while already FT employee of another, without disclosure and approval Keep client data confidential DISCLOSE ASAP; withdraw if conflict persists © Kubes Law Office, PLLC 2017
Professional Conduct
No Plan Stamping Relates to Design or Survey May not stamp another’s work. May not allow another to stamp one’s work. May only sign work that licensee prepared OR was prepared under direct supervision/control May not allow another to sign work – except in the circumstances above
© Kubes Law Office, PLLC 2017
Professional Conduct
Professional “Prohibitions” Use another to circumvent a rule Illegal conduct/moral turpitude Dishonesty, fraud, deceit, misrepresentation Conduct that adversely reflects on licensee's fitness to practice Plan stamping Evade responsibility to client/employer Allow unlicensed to control judgment re HSW
© Kubes Law Office, PLLC 2017
Professional Conduct
No False/Malicious Statements Reminder that words CAN hurt you: Licensee shall not: Make false or malicious statements that could injure another’s personal/professional reputation or business Minn. R. 1805.0500 © Kubes Law Office, PLLC 2017
Professional Conduct
Duty to Report Violators Self-regulated profession IF: knowledge or reasonable grounds of
violation of statutes or rules governing the practice/profession Full disclosure required
© Kubes Law Office, PLLC 2017
Professional Conduct
Maintain Professional Standards Duty of candor to Board Obligation to respond to any request Any false response = misrepresentation to Board No discussion with Board members of pending disciplinary matters © Kubes Law Office, PLLC 2017
Professional Conduct
Discipline in Another Jurisdiction Obligation to advise Board May constitute violation of Rules
© Kubes Law Office, PLLC 2017
Continuing Education: Per biennium: MN - 24 PDH; IL/WI - 30 PDH 2 PDH ethics in MN May carry over (states vary) Cannot carry over ethics PDH
Minn. Stat. 326.107, subd. 1 WI Code A-E 13.03 © Kubes Law Office, PLLC 2017
“Misconduct” Defined MN: Fraud/deceit in obtaining license or certificate Plan stamping Gross professional negligence/incompetence Violation of Ethical Rules or practice act Crime of moral turpitude Adjudication of insanity and incompetence Minn. Stat. 326.11 © Kubes Law Office, PLLC 2017
“Misconduct” Defined WI: Any act that jeopardizes interest of public Violate laws/rules/codes/rules of practice Inadequate plans Lack of trustworthiness Misrepresent qualifications WI Code A-E 8.03(3)
© Kubes Law Office, PLLC 2017
Multi-State Considerations Understand the jurisdiction Rules/reqs for licensure + practice Some states protective (like IL, MN, WI)
Best Practices: Find out state requirements before exploring business in another jurisdiction
© Kubes Law Office, PLLC 2017
Common Errors
© Kubes Law Office, PLLC 2017
Discipline
Rules of Professional Conduct “Knowledge is Power!” Know the rules of
ethics and professionalism
© Kubes Law Office, PLLC 2017
Business Case for Ethical Practice Unethical conduct = liability & discipline Costs of ethics-related risk: Non-monetary Monetary
© Kubes Law Office, PLLC 2017
Resources: Licensing requirements Contract compliance Legal Employer policies Employment procedures / H.R. Regulations – FAR, HAZMAT, etc. CFO/financial © Kubes Law Office, PLLC 2017
Red Flags of an Ethical Dilemma Red flags that students and licensees will face in decision-making
© Kubes Law Office, PLLC 2017
Resource: Deborah H. Long, Ph.D.Ed NCEES Licensure Exchange August 2002
Red Flags of an Ethical Dilemma Resource: Deborah H. Long, Ph.D.Ed; NCEES Licensure Exchange, August 2002
“Well maybe just this once…” “Let’s keep this under our hats…” “No one will ever know…” “I have this friend…” “No one is going to get hurt…” “Everybody does it…” “They had it coming…” “They’ll never miss it…” “What’s in it for me…”
© Kubes Law Office, PLLC 2017
“Whew, we sure
dodged that bullet…” “We’d better look
the other way…” “Don’t tell me,
I don’t want to know…”
Ethical Inquiry*: Identify: Who are the stakeholders/affected parties? What are their interests? What are their responsibilities?
Consider options for behavior & consequences Evaluate options under basic ethical values (honesty,
integrity, fairness, civility, respect, kindness, etc.) or via various tests * Evaluation Tool developed by Dr. Michael C. Loui, Professor Emeritus, University of Illinois at Urbana‐Champaign; [email protected] © Kubes Law Office, PLLC 2017
Ethical Inquiry - TESTS*: Harm: Do benefits outweigh the harms (short/long-term)? Reversibility : Would this choice still look good if I traded places? Legality: Would this choice violate a law or employer policy? Colleague: What would professional colleagues say? Wise relative: What would my wise old aunt or uncle do? Mirror: Would I feel proud of myself when I look in mirror? Publicity: How would this choice look on front page of news? Common practice: What if everyone behaved in this way? * Evaluation Tool developed by Dr. Michael C. Loui, Professor Emeritus, University of Illinois at Urbana‐Champaign; [email protected]
© Kubes Law Office, PLLC 2017
Case studies: Learning from each others’ mistakes. Ethics and integrity are your choice. Choose well.
© Kubes Law Office, PLLC 2017
Water Safety
© Kubes Law Office, PLLC 2017
Theft and Bribery
© Kubes Law Office, PLLC 2017
Strategies for Ethical Practice Know your Rules Communicate Practice open door policy with clients, team members Keep watch for the Red Flags Start with you: Maintain an ethical and honest practice Report practitioners in violation If faced with discipline, consult legal counsel
© Kubes Law Office, PLLC 2017
Copyrights and Legal Disclaimer This Presentation is protected by US and International Copyright laws.
The reuse, duplication or reproduction in whole or in part, other than distribution for informational purposes within your own firm, is prohibited without the written approval of Kubes Law Office, PLLC.
The content of this Seminar is intended for informational purposes on
the subject and should not be taken as legal advice. Please consult appropriate advisors for guidance applicable to your individual circumstances and/or state licensing requirements.
© Kubes Law Office, PLLC 2017
Thank you! Kristine A. Kubes Kubes Law Office, PLLC Serving Design and Construction Professionals 275 Market Street Suite 566 Minneapolis, MN 55405 612.333.3262 [email protected] © Kubes Law Office, PLLC 2017
Kristine A. Kubes, J.D., Kubes Law Office, PLLC Past Chair, MN Board of AELSLAGID © Kubes Law Office, PLLC 2017
Ethics, eth-ics: n.pl. The study of standards of conduct and moral judgment; * * The system or code of morals of a particular person, * * * group, profession. Webster’s New World College Dictionary, Third Edition, at 466.
Ethical, ethi-cal adj. Conforming to the standards of conduct of a given profession or group. Webster’s New World College Dictionary, Third Edition, at 466
© Kubes Law Office, PLLC 2017
Learner Outcomes: Rules of Professionalism and Ethics How Rules protect the public, health, safety, welfare How to identify ethical dilemmas in practice - both in
the office and in the field How to empower your practice - doing the right thing; using the Complaint Process as a method for protecting the practice of engineering
© Kubes Law Office, PLLC 2017
Do ethics really matter?
© Kubes Law Office, PLLC 2017
Design Firms' Ex-Execs Get Jail in Pay-to-Play Schemes
© Kubes Law Office, PLLC 2017
Professionals agree: NSPE NSPS
AIA Ethics ASLA
ASID AIPG
Ethics are a good thing. © Kubes Law Office, PLLC 2017
Ethics’ Foundation Principles C
Enhance Honor of Profession
O N F I D E
Honesty + Integrity
N T
HSW
Avoid Conflicts of Interest
I A L I T Y
© Kubes Law Office, PLLC 2017
Competence
Kristine’s Invitation: Consider culture See yourself as the role model you are Leaders and Mentors Eyes are on you
Start with you Reflect Evaluate Take your own accounting © Kubes Law Office, PLLC 2017
Professional Licensure :
A State’s First Step Toward Ethical Practice • • • •
Board sets minimum standards Educates Imposes Rules of Conduct Issues discipline © Kubes Law Office, PLLC 2017
Licensing Boards: Illinois: www.idfpr.com/profs/Boards/profeng.asp
Minnesota: www.aelslagid.state.mn.us
Wisconsin: http://dsps.wi.gov/LicensesPermits/Engineer
© Kubes Law Office, PLLC 2017
Boards’ Missions Licensing Protect public health, safety, welfare Provide reasonable assurance of
competent, ethical practitioners with the necessary knowledge and skills appropriate to their title and role.
© Kubes Law Office, PLLC 2017
Enforcement of Compliance: Disciplinary Action Authority under statute Self-regulated profession Complaint Forms online MN confidential process WI Open Records Law After Order, public has access
© Kubes Law Office, PLLC 2017
Disciplinary Process State Office advised by legal counsel Investigation, if facts warrant Scope of work/meetings Discipline, if facts warrant Resolve via stipulated agreement or
contested case hearing
© Kubes Law Office, PLLC 2017
Disciplinary Action Issue Cease & Desist Order Suspend or revoke license Impose civil penalty Impose a fee for costs of proceedings WI: Summary Suspension, followed by
investigation
© Kubes Law Office, PLLC 2017
When is license required in IL, MN, and WI? To practice or to offer to practice 225 ILCS 325 Minn. Stat. § 326.02, subd. 1 WI Stat. 443.02 (1)
© Kubes Law Office, PLLC 2017
When a License is Not Required Exemptions MN Exemption Table
MN Statute § 326.02, Subd. 5 MN Rule 1800.5900 WI Statute 443.14 Exempt persons WI Statute 443.15 Exempt buildings IL Exemptions 225 ILCS 325/3
© Kubes Law Office, PLLC 2017
Privileges and Responsibilities Holding a license is a privilege Consequence of noncompliance with law With each privilege comes a corresponding
professional responsibility
© Kubes Law Office, PLLC 2017
Rules of Professional Conduct Outlines licensee’s professional responsibility Minn. Rules 1805 et seq. WI Code Ch. A-E 8 IL Rules 1380.300 Imputed knowledge
© Kubes Law Office, PLLC 2017
Ethics Begins with YOU License Decisions Choices
© Kubes Law Office, PLLC 2017
Ignorance is No Excuse. Study Up. Education
Compliance.
Know better. Do better.
© Kubes Law Office, PLLC 2017
Personal and Professional Conduct
Honesty/Integrity Conduct self and business with integrity True and accurate representation of qualifications True and accurate estimate of cost and time Avoid conduct that diminishes confidence in profession No offers to work outside competency No fraudulent advertising No representation of partnership/firm unless it exists No referral fees unless full disclosure © Kubes Law Office, PLLC 2017
Professional Conduct
Competency/Qualifications Licensee shall: Only seek and engage work for which licensee is competent and qualified to complete Use reasonable care in performing work Licensee shall not: Falsify/misrepresent qualifications Falsify/misrepresent responsibility in prior work Give any money/gift to induce getting a job
© Kubes Law Office, PLLC 2017
Professional Conduct
Avoid Conflicts of Interest Where financial interest would impair ability to be
faithful and responsible professional Payment on same project from more than one party unless unity of interest among parties. No pay/gifts to get work No pay/gifts from suppliers to spec/endorse No work for client while already FT employee of another, without disclosure and approval Keep client data confidential DISCLOSE ASAP; withdraw if conflict persists © Kubes Law Office, PLLC 2017
Professional Conduct
No Plan Stamping Relates to Design or Survey May not stamp another’s work. May not allow another to stamp one’s work. May only sign work that licensee prepared OR was prepared under direct supervision/control May not allow another to sign work – except in the circumstances above
© Kubes Law Office, PLLC 2017
Professional Conduct
Professional “Prohibitions” Use another to circumvent a rule Illegal conduct/moral turpitude Dishonesty, fraud, deceit, misrepresentation Conduct that adversely reflects on licensee's fitness to practice Plan stamping Evade responsibility to client/employer Allow unlicensed to control judgment re HSW
© Kubes Law Office, PLLC 2017
Professional Conduct
No False/Malicious Statements Reminder that words CAN hurt you: Licensee shall not: Make false or malicious statements that could injure another’s personal/professional reputation or business Minn. R. 1805.0500 © Kubes Law Office, PLLC 2017
Professional Conduct
Duty to Report Violators Self-regulated profession IF: knowledge or reasonable grounds of
violation of statutes or rules governing the practice/profession Full disclosure required
© Kubes Law Office, PLLC 2017
Professional Conduct
Maintain Professional Standards Duty of candor to Board Obligation to respond to any request Any false response = misrepresentation to Board No discussion with Board members of pending disciplinary matters © Kubes Law Office, PLLC 2017
Professional Conduct
Discipline in Another Jurisdiction Obligation to advise Board May constitute violation of Rules
© Kubes Law Office, PLLC 2017
Continuing Education: Per biennium: MN - 24 PDH; IL/WI - 30 PDH 2 PDH ethics in MN May carry over (states vary) Cannot carry over ethics PDH
Minn. Stat. 326.107, subd. 1 WI Code A-E 13.03 © Kubes Law Office, PLLC 2017
“Misconduct” Defined MN: Fraud/deceit in obtaining license or certificate Plan stamping Gross professional negligence/incompetence Violation of Ethical Rules or practice act Crime of moral turpitude Adjudication of insanity and incompetence Minn. Stat. 326.11 © Kubes Law Office, PLLC 2017
“Misconduct” Defined WI: Any act that jeopardizes interest of public Violate laws/rules/codes/rules of practice Inadequate plans Lack of trustworthiness Misrepresent qualifications WI Code A-E 8.03(3)
© Kubes Law Office, PLLC 2017
Multi-State Considerations Understand the jurisdiction Rules/reqs for licensure + practice Some states protective (like IL, MN, WI)
Best Practices: Find out state requirements before exploring business in another jurisdiction
© Kubes Law Office, PLLC 2017
Common Errors
© Kubes Law Office, PLLC 2017
Discipline
Rules of Professional Conduct “Knowledge is Power!” Know the rules of
ethics and professionalism
© Kubes Law Office, PLLC 2017
Business Case for Ethical Practice Unethical conduct = liability & discipline Costs of ethics-related risk: Non-monetary Monetary
© Kubes Law Office, PLLC 2017
Resources: Licensing requirements Contract compliance Legal Employer policies Employment procedures / H.R. Regulations – FAR, HAZMAT, etc. CFO/financial © Kubes Law Office, PLLC 2017
Red Flags of an Ethical Dilemma Red flags that students and licensees will face in decision-making
© Kubes Law Office, PLLC 2017
Resource: Deborah H. Long, Ph.D.Ed NCEES Licensure Exchange August 2002
Red Flags of an Ethical Dilemma Resource: Deborah H. Long, Ph.D.Ed; NCEES Licensure Exchange, August 2002
“Well maybe just this once…” “Let’s keep this under our hats…” “No one will ever know…” “I have this friend…” “No one is going to get hurt…” “Everybody does it…” “They had it coming…” “They’ll never miss it…” “What’s in it for me…”
© Kubes Law Office, PLLC 2017
“Whew, we sure
dodged that bullet…” “We’d better look
the other way…” “Don’t tell me,
I don’t want to know…”
Ethical Inquiry*: Identify: Who are the stakeholders/affected parties? What are their interests? What are their responsibilities?
Consider options for behavior & consequences Evaluate options under basic ethical values (honesty,
integrity, fairness, civility, respect, kindness, etc.) or via various tests * Evaluation Tool developed by Dr. Michael C. Loui, Professor Emeritus, University of Illinois at Urbana‐Champaign; [email protected] © Kubes Law Office, PLLC 2017
Ethical Inquiry - TESTS*: Harm: Do benefits outweigh the harms (short/long-term)? Reversibility : Would this choice still look good if I traded places? Legality: Would this choice violate a law or employer policy? Colleague: What would professional colleagues say? Wise relative: What would my wise old aunt or uncle do? Mirror: Would I feel proud of myself when I look in mirror? Publicity: How would this choice look on front page of news? Common practice: What if everyone behaved in this way? * Evaluation Tool developed by Dr. Michael C. Loui, Professor Emeritus, University of Illinois at Urbana‐Champaign; [email protected]
© Kubes Law Office, PLLC 2017
Case studies: Learning from each others’ mistakes. Ethics and integrity are your choice. Choose well.
© Kubes Law Office, PLLC 2017
Water Safety
© Kubes Law Office, PLLC 2017
Theft and Bribery
© Kubes Law Office, PLLC 2017
Strategies for Ethical Practice Know your Rules Communicate Practice open door policy with clients, team members Keep watch for the Red Flags Start with you: Maintain an ethical and honest practice Report practitioners in violation If faced with discipline, consult legal counsel
© Kubes Law Office, PLLC 2017
Copyrights and Legal Disclaimer This Presentation is protected by US and International Copyright laws.
The reuse, duplication or reproduction in whole or in part, other than distribution for informational purposes within your own firm, is prohibited without the written approval of Kubes Law Office, PLLC.
The content of this Seminar is intended for informational purposes on
the subject and should not be taken as legal advice. Please consult appropriate advisors for guidance applicable to your individual circumstances and/or state licensing requirements.
© Kubes Law Office, PLLC 2017
Thank you! Kristine A. Kubes Kubes Law Office, PLLC Serving Design and Construction Professionals 275 Market Street Suite 566 Minneapolis, MN 55405 612.333.3262 [email protected] © Kubes Law Office, PLLC 2017
