Governing the Practice of Engineering

Florida Laws and Rules

Governing the Practice of Engineering

Presented by

FBPE Approved Distance Learning Course #0000006
FBPE Approved Provider #0003823

Speaker: Clifford Gorman, Esq. – Clifford Gorman LLC

Today’s Program Topics

• Florida Law Governing Practice Of
Engineering

• Florida Board Of Professional Engineers
• Grounds For Disciplinary Action
• Fines And Penalties For Violations
• Changes In The Law: A Few Things You

Need To Know

1

NSPE CODE OF ETHICS

Engineering is an important and learned
profession.

The members of the profession recognize
that their work has a direct and vital impact

on the quality of life for all people.

The Practice Of Engineering In
Florida Is Governed By…

• Chapter 471, Florida Statutes (“F.S.”)
(a/k/a, “The Practice Act”)

• Chapter 455, Florida Statutes (“F.S.”)
• Chapter 61G15, Florida Administrative Code

(“F.A.C.”)

2

Chapter 471, Florida Statutes
“The Practice Act”

• Provides the requirements for licensure as a
registered professional engineer

• Provides the grounds for disciplinary action
against a registered professional engineer

• Creates the Board Of Professional Engineers
• Grants to the Board of Professional Engineers

the authority to promulgate rules, including
standards of practice

Chapter 455, Florida Statutes

• Contains a number of laws applicable to all
practitioners under the umbrella of The Department
of Business And Professional Regulation (“DBPR”)

• §455.225, F.S., establishes the authority and
procedures for conducting an investigation of a
complaint and disciplinary action

• §455.27, F.S, provides general grounds for
disciplinary action against ALL DBPR licensees

3

Chapter 61G15
Florida Administrative Code

• This “document” contains all the rules promulgated by the Board…
• Education, experience, and examination requirements
• Grounds for disciplinary proceedings and disciplinary guidelines
• OFFICE PRACTICE TIP…every P.E. in your firm should be

required to read 61G15 once each year as part of the associate
engineer or partner engineer annual review

The Florida Board Of Professional Engineers
• The Board consists of 11 members
• Two (2) of the 11 Board members must be

laypersons who are not and have never been
engineers or members of any closely related
profession or occupation (§471.007)

4

The Florida Board Of Professional Engineers

• In addition to the two (2) lay persons, the Board is comprised of:

• Three (3) Civil Engineers
• One (1) Structural Engineer
• One (1) Electrical Engineer
• One (1) Mechanical Engineer
• One (1) Industrial Engineer
• One (1) Engineering Educator
• One (1) Engineer --- not a civil engineer

• The Board’s headquarter offices are located in
Tallahassee

• Visit the Board website for more information
www.fbpe.org

5

The Florida Engineers Management
Corporation

• Under §471.038, F.S., administrative,
investigative and prosecutorial services are
provided to the Florida Board of Professional
Engineers by the Florida Engineers
Management Corporation (“FEMC”)

• FEMC is a non-profit, single purpose
corporation that operates through a contract
with DBPR

The Florida Engineers Management
Corporation

• The FEMC Board Of Directors is comprised of seven
(7) members

• Five (5) members are appointed by FBPE and must
be registered P.E.’s in Florida

• Two (2) members are appointed by the Secretary of
DBPR and must be laypersons not otherwise
regulated by the Board

• For more information…
• www.fbpe.org/femc/index.php

6

Requirements For Licensure
Chapter 471, Florida Statutes

• The Board must certify the applicant as being
qualified to practice engineering; AND

• The applicant must pass the Fundamentals
Examination and The Principles And Practice
Examination; AND

• The applicant must complete four (4) years of
experience in the field of engineering; AND

• The applicant must be of good moral character

Chapter 61G15-19.003
Purpose

• To comply with the purpose of chapter 471, F.S., which is
to SAFEGUARD LIFE, HEALTH, AND PROPERTY TO
PROMOTE THE PUBLIC WELFARE AND TO
MAINTAIN A HIGH STANDARD OF INTEGRIT, the
Board of Professional Engineers has developed Grounds
For Disciplinary Proceeding. These rules shall be binding
on every person holding a license to offer or perform
engineering services in this State. All persons registered
under Chapter 471, F.S. are required to be familiar with
Chapter 471, F.S., and the rules promulgated thereto.

7

Maintaining Your P.E. License

• Complete and file the renewal application; AND
• Pay the renewal fee; AND
• Complete four (4) continuing education hours for each license

renewal period: total of eight (8) hours for each 2-year renewal
period
• Four (4) CE hours on the topics of Chapter 471, F.S. and Chapter
61G15, F.A.C.
• Four (4) CE hours on the topics of the licensee’s area of engineering
practice
• Reactivation of an inactive license requires 12 continuing education
hours for each year the P.E. license was inactive

Status of Your P.E. License

• Active
• Inactive
• Delinquent
• Null and Void

8

Definitions & Terminology

§471.005(7)

"Engineering" includes the term "professional
engineering" and means any service or creative
work, the adequate performance of which requires
engineering education, training, and experience in the
application of special knowledge of the mathematical,
physical, and engineering sciences to such services or
creative work as consultation, investigation, evaluation,
planning, and design of engineering works and systems,
planning the use of land and water, teaching of the
principles and methods of engineering design, engineering

Definitions & Terminology
§471.005(7)

surveys, and the inspection of construction for the purpose
of determining in general if the work is proceeding in
compliance with drawings and specifications any of which
embraces such services or work, either public or private, in
connection with any utilities, structures, buildings, machines,
equipment, processes, work systems, projects, and industrial
or consumer products or equipment of a mechanical,
electrical, hydraulic, pneumatic, or thermal nature, insofar as
they involve safeguarding life, health, or property; and
includes such other professional services as may be necessary
to the planning, progress, and completion of any engineering
services…

9

Certification Of Partnerships
And

Corporations

• The practice or the offer to practice engineering by licensees
through a corporation, partnership, or other legal entity is
permitted ONLY if the business organization possesses a
certificate of authorization issued by FEMC pursuant to
qualification by the Board (See §471.023, Florida Statutes)

• For the purposes of this section, a certificate of authorization
SHALL be required for any organization or person practicing
or offering to practice under a fictitious name

How You Can Practice Your Profession
Part 1 of 2

Only Two (2) Ways To Practice The Title Block

• As an individual under your • If there is only one (1) title
own name; OR block on the plans, it MUST
be the individual engineer’s
• Through a business entity title block, OR the title
holding the required form of block of a duly licensed
Certificate Of Authorization business entity

10

How You Can Practice Your Profession
Part 2 of 2

Fictitious Name

• A professional engineer, corporation or partnership shall not
practice engineering under an assumed, fictitious or corporate
name that is misleading as to the identity, responsibility or
status of those practicing thereunder or is otherwise false,
fraudulent, misleading or deceptive within the meaning of
subsection 61G15-19.001(2), F.A.C.

How You Can Practice Your Profession
Part 2 of 2

Fictitious Name

• When an individual is practicing engineering as a sole
proprietor under a combination of his own given
name, and terms such as "engineering," "and
associates" or "and company," then said person is
practicing engineering under a fictitious name, and
must obtain a certificate of authorization pursuant to
§471.023(2), F.S.

11

Certification Of Partnerships + Corporations

The name of a corporation or partnership, if otherwise
authorized, may include the name or names of one or
more deceased or retired members of the firm, or of a
predecessor firm in a continuing line of succession. An
engineering firm may not offer services to the public
under a firm name which contains only the name of an
individual not licensed as a professional engineer,
registered architect, land surveyor, landscape architect,
professional geologist, in any state (See §471.023, F.S.)

Certification Of Partnerships + Corporations

• The fact that a licensed engineer practices through a
corporation or partnership shall not relieve the licensee from
personal liability for negligence, misconduct, or wrongful acts
committed by him or her

• Nothing in this section shall be construed to mean that a
license to practice engineering shall be held by a corporation

• Nothing herein prohibits corporations and partnerships from
joining together to offer engineering services to the public,
provided each corporation or partnership otherwise meets the
requirements of this section

12

Grounds For Disciplinary Proceedings

• (c) Having a license to practice engineering revoked, suspended, or
otherwise acted against, including the
denial of licensure, by the licensing authority of another
state, territory, or country, for any act that would constitute
a violation of this Chapter or Chapter 455

• (d) Being convicted or found guilty of, or entering a plea of nolo
contendere to, regardless of adjudication, a crime in
any jurisdiction which directly relates to the practice of engineering
or the ability to practice engineering

• (g) Engaging in fraud or deceit, negligence, incompetence,
or misconduct, in the practice of engineering

Grounds For Disciplinary Proceedings

• (j) Affixing or permitting to be affixed his or her seal,
name, or digital signature to any final drawings,
specifications, plans, reports, or documents that were
not prepared by him or her or under his or her responsible
supervision, direction, or control

• (k) Violating any order of the Board or department
previously entered in a disciplinary hearing

13

Grounds For Disciplinary Proceedings

• Engaging in false, fraudulent, deceptive, or misleading
advertisement; an advertisement can be deemed as such
IF the advertisement:

1. contains a material misrepresentation of facts;
2. omits to state any material fact necessary to make the statement in

the light of all circumstances not misleading;
3. is intended or is likely to create an unjustified expectation;
4. implies or states that the engineer is certified in any area outside of

his field of expertise, or falsifies experience, training, or education;
5. contains representations or implications that are likely to deceive

or mislead the average person or does not contain disclaimer
language.

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

Misconduct in the practice of engineering as set forth
in §471.033(1)(g), F.S., shall include, but not be
limited to:
(a) expressing an opinion publicly on an engineering
subject without being informed as to the facts relating
thereto and being competent to form a sound opinion
thereupon;

14

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

• (b) being untruthful, deceptive, or misleading in any
professional report, statement, or testimony whether
or not under oath or omitting relevant and pertinent
information from such report, statement or testimony
when the result of such omission would or reasonably
could lead to a fallacious conclusion on the part of the
client, employer or the general public;

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(c) performing an engineering assignment when
not qualified by training or experience in the
practice area involved;
(d) affixing a signature or seal to any engineering
plan of document in a subject matter over which
a professional engineer lacks competence because
of inadequate training or experience;

15

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

• (e) offering directly or indirectly any bribe
or commission or tendering any gift to
obtain selection or preferment for engineering
employment……

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(f) becoming involved in a conflict of interest with an employer
or client, without the knowledge and approval of the client or
employer, but if unavoidable a professional engineer shall
immediately take the following actions:

1. Disclose in writing to his employer or client the full circumstances
as to a possible conflict of interest; and

2. Assure in writing that the conflict will in no manner influence the
professional engineer's judgment or the quality of his services to
his employer or client; and

3. Promptly inform his client or employer in writing of any business
association, interest or circumstances which may
be influencing his judgment or the quality of his services to
his client or employer;

16

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(g) soliciting or accepting financial or other valuable considerations
from material or equipment suppliers for specifying their products
without the written consent to the engineer's employer or client;

(h) soliciting or accepting gratuities directly or indirectly from
contractors, their agents or other parties dealing with the
professional engineer’s client or employee in connection with work
for which the professional engineer is responsible without the
written consent of the engineer’s employer or client;

(i) use by a professional engineer of his engineering expertise and/or
his professional engineering statutes to commit a felony;

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(j) affixing his seal and/or signature to plans, specifications, drawings,
or other documents
required to be sealed pursuant to §471.025(1), F.S., when such
document has not been personally prepared by the engineer or
prepared under his responsible supervision, direction and control;

(k) a professional engineer shall not knowingly associate with or permit
the use of his name or firm name in a business venture by any
person or firm which he knows or has reason to believe is engaging
in business or professional practices of a fraudulent
or dishonest nature;

17

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(l) if his engineering judgment is overruled by an unqualified lay
authority with the results that the public health and safety is
threatened, failure by a professional engineer to inform his
employer, responsible supervision and the responsible public
authority of the possible circumstances;

(m) if a professional engineer has knowledge or reason to believe that
any person or firm is guilty of violating any of the provisions of
Chapter 471, F.S., or any of these rules of professional conduct,
failure to immediately present this information to FEMC;

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(n) violation of any law of the State of Florida directly regulating the
practice of engineering;

(o) failure on the part of any professional engineer or certificate holder
to obey the terms of a final order imposing discipline upon said
professional engineer or certificate holder;

(p) making any statement, criticism or argument on engineering matters
which is inspired or paid for by interested parties, unless the
professional engineer specifically identifies the interested parties on
whose behalf he is speaking, and reveals any interest he or the
interested parties have in such matters;

18

Definition Of Misconduct
(See 61G15-19.001(6), F.A.C.)

(q) sealing and signing all documents for an entire engineering project,
unless each design segment is signed and sealed by the professional
engineer in responsible charge of the preparation of that design
segment;

(r) revealing facts, data or information obtained in a professional
capacity without the prior consent of the professional engineer's
client or employer except as authorized or required by law

Chapter 61G15-19.004
Disciplinary Guidelines ~ Range Of Penalties
• Violating any provision of §455.227(1)
• First Violation: Reprimand and $1,000 fine > 1-year Suspension + 2
years Probation + $5,000 Fine
• Second Violation: 1-Year Suspension + 2 years probation > $5,000
fine > Revocation of License
• Signing or sealing any document that depicts work the licensee is
not licensed to perform or which is beyond his or her profession or
specialty
• First Violation: Reprimand + 1-year Probation + $1,000 Fine >
$5,000 fine, 1-year Suspension + 2-years Probation
• Second Violation: Reprimand + $5,000 Fine + 1-Year Suspension +
2 Years Probation > Revocation

19

Chapter 61G15-19.004
Disciplinary Guidelines ~ Range Of Penalties
• Undisclosed Conflict Of Interest
• First Violation: Reprimand + $1,000 Fine + 2-Years Probation >
Revocation + $5,000 fine
• Second Violation: 1-Year Suspension + 2-Years Probation + $5,000
Fine

61G15-19.004 , F.A.C.
Disciplinary Guidelines
Range of Penalties --- Aggravating and Mitigating Circumstances

(1) The Board sets forth below a range of disciplinary guidelines from
which disciplinary penalties will be imposed upon practitioners
(including holders of certificate of authorization) guilty of violating
Chapter 471, F.S. The purpose of the disciplinary guidelines is to
give notice to licensees of the range of penalties which will
normally be imposed upon violations of particular provisions of
Chapter 471, F.S.
The disciplinary guidelines are based upon a single count violation
of each provision listed. Multiple counts of violations of the same
provision of Chapter 471, F.S., or the rules promulgated thereto, or
other unrelated violations contained in the same administrative
complaint will be grounds for enhancement of penalties.

20

61G15-19.004 , F.A.C.
Disciplinary Guidelines
Range of Penalties --- Aggravating and Mitigating Circumstances

All penalties at the upper range of the sanctions set forth in the
guidelines, i.e., suspension, revocation, etc., include lesser penalties,
i.e., fine, probation or reprimand which may be included in the final
penalty at the Board’s discretion. All impositions of probation as a
penalty shall include successful completion of the Engineering Law
and Rules Study Guide, completion of a Board-approved course in
Engineering Professionalism and Ethics, and an appearance before
the Board at the option of the Board at the end of the probationary
period. Other terms may be imposed by the Board at its discretion.
(2) The following disciplinary guidelines shall be followed by the
Board in imposing disciplinary penalties upon licensees for violation
of the below mentioned statutes and rules:

Penalties For Violation(s) Of Rules

(3) When the Board finds any person guilty of any of the grounds set
forth in subsection (1), it may enter an order imposing one (1) or
more of the following penalties:

[a] Denial of an application for licensure
[b]Revocation or suspension of a license
[c] Imposition of an administrative fine not to

exceed $5,000 for each count or separate offense
[d]Issuance of a reprimand
[e]Placement of the licensee on probation for a period of time and

subject to such conditions as the Board may specify
[f] Restriction of the authorized scope of practice by the licensee

21

The Disciplinary Process
(See §455.225 Disciplinary Proceedings)

• A complaint is legally sufficient if it contains ultimate facts
that show that a violation of this chapter, of any of the practice
acts relating to the professions regulated by the department, or
of any rule adopted by the department or a regulatory board in
the department has occurred

• The department may investigate an anonymous complaint if
the complaint is in writing and is legally sufficient, if the
alleged violation of law or rules is substantial, and if the
department has reason to believe, after preliminary inquiry,
that the violations alleged in the complaint are true

Your Worst Day As An Engineer

22

Avoiding Unnecessary Misery

• When an investigation of any subject is undertaken,
the department shall promptly furnish to the subject
or the subject's attorney a copy of the complaint or
document that resulted in the initiation of the
investigation. The subject may submit a written
response to the information contained in such
complaint or document within 20 days after
service to the subject of the complaint or
document. The subject's written response shall

be considered by the probable cause panel.

The Disciplinary Process

• Upon completion of the investigation and pursuant
to a written request by the subject, the department
shall provide the subject an opportunity to inspect
the investigative file or, at the subject's expense,
forward to the subject a copy of the investigative
file. The subject may file a written response to the
information contained in the investigative file.
Such response must be filed within 20 days, unless
an extension of time has been granted by the
department.

23

The Disciplinary Process

When its investigation is complete and legally sufficient, the
department shall prepare and submit to the probable cause
panel of the appropriate regulatory board the investigative
report of the department. The report shall contain the
investigative findings and the recommendations of the
department concerning the existence of probable cause.
The determination as to whether probable cause exists shall be
made by majority vote of a probable cause panel of the board,
or by the department, as appropriate.
All proceedings of the panel are exempt from §286.011 until
10 days after probable cause has been found to exist by the
panel or until the subject of the investigation waives his or her
privilege of confidentiality

The Disciplinary Process

• In lieu of a finding of probable cause, the probable cause panel, or
the department when there is no board, may issue a letter of
guidance to the subject.

• If the probable cause panel finds that probable cause exists, it shall
direct the department to file a formal complaint against the licensee.

24

Sample Dismissal With Letter Of Guidance
Sample Dismissal With Letter Of Guidance

25

Sample Dismissal With Letter Of Guidance

Sample Letter Closing Case

26

Disciplinary Guidelines + Penalties
(See 61G15-19.004)

• The Guidelines provide a range of penalties which can be
imposed by the Board

• The Guidelines provide for aggravating circumstances,
including a history of previous violations and the magnitude and
scope of the negligence

• The Guidelines address mitigating circumstances, including the
absence of any previous disciplinary history or the minor nature
of the issue in question

The Disciplinary Process

Final Agency Action

• (6) The appropriate board, with those members of the panel, if
any, who reviewed the investigation pursuant to subsection (4)
being excused, or the department when there is no board, shall
determine and issue the final order in each disciplinary case.
Such order shall constitute final agency action. Any consent
order or agreed settlement shall be subject to the approval of the
department.

27

The Disciplinary Process

Recommended Order

• After a formal hearing, a Recommended Order is prepared by the
ALJ and submitted to the Board for Final Action.

• The Recommended Order contains findings of fact, conclusions of
law, and a recommended penalty.

The Disciplinary Process

Exceptions To A Recommended Order

• The parties can file exceptions to findings of fact or conclusions of
law.

• The Board may reject a finding of fact only after a review of the
record and a determination that the finding of fact was not supported
by competent and substantial evidence.

• The Board has more leeway to reject a conclusion of law.

28

The Disciplinary Process

Appeal

• Any Final Order of the Board may be appealed
to the First District Court of Appeal in Tallahassee,
or to a Court of Appeal in the District where the respondent
resides.

Avoiding The Disciplinary Process

Six (6) Things You Can Do

1. Increase your knowledge, understanding, and significance of
applicable Laws & Rules regulating YOUR profession

2. Renew your license in a timely manner
3. Stay current with CE requirements; maintain records of all

continuing education
4. Advise your partners of having received a “notice”
5. Respond timely to any notice from The Board
6. Retain legal counsel immediately

29

Changes In The Law
A Few Things You Need To Know

• §§627.706, F.S.: “SINKHOLE LAW”
• Insurer may require inspection of property BEFORE issuance of

sinkhole loss coverage
• Insurer may restrict coverage to principal building
• Professional engineer no longer needs specialty in geotechnical

engineering

Changes In The Law
A Few Things You Need To Know

• Professional geologist no longer needs expertise in geology in
Florida

30

Changes In The Law
A Few Things You Need To Know

• §§471.0195 Florida Building Code Training For Engineers
• Prior Wording
• “...proof to the board…that the licensee has completed the core

curriculum courses and any specialized or advanced courses on any
portion of the Florida Building Code applicable to the licensee’s
area of practice or has passed the appropriate equivalency test of the
Building Code Training Program…”

Changes In The Law
A Few Things You Need To Know

• §§471.0195 Florida Building Code Training For Engineers
• NEW Wording
• “...proof to the board…that the licensee has completed any

specialized or advanced courses on any portion of the Florida
Building Code applicable to the licensee’s area of practice…”

31

Incidental Practice Of Architecture
§471.003(3), F.S.

Notwithstanding the provisions of this chapter or of any other law,
no registered engineer whose principal practice is civil or structural
engineering, or employee or subordinate under the responsible
supervision or control of the engineer, is precluded from performing
architectural services which are purely incidental to her or his
engineering practice…

Incidental Practice Of Architecture
§471.003(3), F.S.

…nor is any registered architect, or employee or subordinate under
the responsible supervision or control of the architect, precluded
from performing engineering services which are purely incidental
to her or his architectural practice. However, no engineer shall
practice architecture or use the designation “architect” or any term
derived therefrom, and no architect shall practice engineering or use
the designation “engineer” or any term derived therefrom.

32

Incidental Practice Of Architecture
§471.003(3), F.S

• Even though you may be able to practice
“incidental architecture…” the law must be followed:

• Nothing contained in this chapter shall be construed to repeal,
amend, limit, or otherwise affect any local building code or zoning
law or ordinance, now or hereafter enacted, which is more
(restrictive with respect to the services of registered engineers than
the provisions of this chapter.

Incidental Practice Of Architecture
§471.003(3), F.S

• Even though you may be able to practice “incidental architecture…”
the law must be followed:

• In counties or municipalities that issue building permits, such
permits may not be issued in any
case in which it is apparent from the application
for the building permit that the provisions of this chapter have been
violated. However, this
subsection does not authorize the withholding
of building permits in cases involving the exceptions and
exemptions set out in §471.003

33

Liability of Design Professionals

Contract Liability

• Only parties to the contract (“privity”) may sue to recover money
damages

• The contract may set forth specific remedies and limitations
• Damages are determined by the contract OR the reasonable

expectations of the parties as per the contract

Liability Of Design Professionals

Tort Liability

• In 1999, the Florida Supreme Court forever changed the law re
suing design professionals (Moransais v. Heathman, 744 So.2d 973
Fla. 1999)

• This landmark decision reversed the trend of limiting an engineer’s
liability exposure

• Since Moransais, a negligence suit can be filed against an employee
engineer who performed the services even though the employee
engineer did not sign the contract with the client

34

Liability Of Design Professionals

Negligence

• A professional engineer shall not be negligent in
the practice of engineering.

• The term “negligence” set forth in §471.033(1)(g), F.S., is defined
as…

• …the failure by a professional engineer to utilize due care in
performing in an engineering capacity or failing to have due regard
for acceptable standards of engineering principles.

Liability Of Design Professionals

Negligence

• Professional engineers shall approve and seal
only those documents that conform to acceptable engineering
standards and safeguard the life,
health, property and welfare of the public
(See 61G15-19.001(4), F.A.C.

35

Liability Of Design Professionals

Damages

• Only damages caused by the engineer are recoverable
• “First Cost” losses are the costs of items negligently omitted from

the design, and are generally not recoverable, although the increased
cost of the material or increased cost of construction occasioned by
the omission are also recoverable; compare “error” and “omission”

Indemnification Agreements

• Parties to written contracts may agree to indemnify
or “hold harmless” the other party against loss or damage arising
from some act or omission, or claim from a third party

• Florida law permits contracting parties to indemnify others,
including non-parties to the contract

• The contractual indemnification provision must contain a
monetary limitation on the extent of the indemnification which
amount must bear a reasonable commercial relationship to the
contract

36