What Florida Eengineers Need to Know About the Disciplinary Process

By Veronica Bayó Clifford, Esq.Counsel for Grossman, Furlow & Bayo' in Tallahassee

Engineering is a highly regulated profession in Florida, with strict professional standards enforced by the Florida Board of Professional Engineers (FBPE). The FBPE ensures that engineers uphold public safety, welfare and trust by following established laws and regulations.

The FBPE is responsible for regulating the engineering profession in Florida, and it has the authority to:

• Investigate complaints against licensed engineers.

• Determine if disciplinary action is warranted.

• Impose penalties, including fines, license suspension or revocation.

Engineers may find themselves facing disciplinary action for a variety of reasons. All the possible grounds for discipline are enumerated in Section 471.033, F.S., and Section 455.227, F.S. These include matters such as violating the Florida Engineering Practice Act; engaging in fraud, negligence, incompetence or misconduct; making misleading, deceptive or fraudulent representations in the practice; and signing and sealing documents that were not prepared personally or under the engineer’s responsible supervision.

You can be disciplined for fraud or misrepresentation in obtaining or renewing a license. Being convicted of a crime related to the practice of engineering can also be cause for disciplinary action.

An engineer cannot be disciplined by the FBPE for being “unethical” or for violating a provision of an ethics code. However, many ethical violations are covered under the board’s definition of misconduct in Rule 61G15-19.001(6), F.A.C.

For example, the NSPE Code of Ethics declares that it is unethical for an engineer to perform services outside of his or her area of competence. The board defines this behavior as misconduct.

The disciplinary process typically begins with a complaint filed with FBPE. The FBPE’s investigators conduct preliminary fact gathering, but the formal investigation stage begins when the licensee receives a Notice of Investigation. The Notice advises the licensee that a complaint has been made against them and invites a response within 20 days.

What to say and how to respond is important and varies from case to case. It is a good idea to consult a legal professional at this stage. Providing a response without understanding the possible consequences can be a mistake.

Once the investigation is complete, a report will be prepared with all documents gathered during the investigation, including response(s) and exhibits if any were submitted. If the case was sent to an expert for review, that expert opinion will be part of the investigative file.

If the engineer affirmatively requested a copy of the investigative file in the initial response, a copy of that file will be provided. The engineer will have 20 days to provide a response.

This is a critical stage in the process. A good response, supported by additional pertinent documentation including expert opinions in support of the engineer’s practice (or rebutting the Board expert’s opinion), can make a huge impact. Pointing out any remedial measures taken to avoid a similar occurrence, such as additional training or protocols implemented, is also important.

The case will then be ready for presentation to the probable cause panel. The panel is composed of two to three members, some of whom may be current or former Board members. Their role is not to determine the ultimate guilt or innocence, but instead to determine if there are reasonable grounds (“probable cause”) to believe that a violation occurred and that the licensee is responsible.

The panel has the option to dismiss the case, find probable cause (in which case a formal Administrative Complaint will be issued), send the case back for an expert review or to gather additional information, or close the case with a Letter of Guidance, which will not constitute formal discipline.

All materials regarding the investigation of a case are confidential until 10 days after the investigation ceases to be active, which means 10 days after the case is either dismissed or probable cause is found. This is unique to engineers, as under most practice acts, complaints and their corresponding investigative files that are closed without a finding of probable cause remain confidential.

If the case is either dismissed or closed with a Letter of Guidance, there is no disciplinary record. Keep in mind, however, that anyone can make a public records request.

In the event an Administrative Complaint is filed, the licensee will be served with a copy of the Administrative Complaint, an Election of Rights form and, in some cases, a proposed Settlement Stipulation. There is a 21-day requirement for responding to the Administrative Complaint. Depending on the severity of the violation, FBPE may impose:

• Fines and administrative costs.

• Probation with specific conditions.

• License suspension or revocation.

• Mandatory continuing education or remedial training.

The Board’s discretion regarding the imposition of penalties is not unbridled. The law requires that each Board adopt a rule establishing the usual and customary range of penalties for each violation.

The Board’s Disciplinary Guidelines rule is 61G15-19.004, Florida Administrative Code. The guidelines are expressed in terms of a minimum to maximum range for each violation, taking into consideration whether it is a first offense or a repeat offense. The Board is entitled to deviate from these guidelines if it finds aggravating or mitigating circumstances.

Understanding the procedures, rights and potential consequences can help engineers navigate complaints effectively. Avoiding them altogether is even better, and the best way to do that?

• Practice at the highest possible standard. Ensure that your plans, specifications or other documents are complete and otherwise comply with the appropriate Responsibility Rules.

• Respond Promptly: Timely response to complaints and FBPE inquiries can impact case outcomes.

• Comply with Ethical Standards: Regularly review and adhere to the various Codes of Ethics adopted by the NSPE, ASCE, IEEE and others.

• Seek legal counsel.

An article from an attorney would not be complete without a disclaimer. On that note: this article is for informational purposes and does not constitute legal advice. Engineers facing disciplinary action should seek the advice of a qualified attorney to discuss their specific circumstances. Neither the authors nor the publisher assumes any liability for actions taken based on the information in this article.