Conn. Agencies Regs. § 22a-133v-6 - Rules of Professional Conduct

Current through March 4, 2022

(a) Definitions

As used in this section, the term licensed environmental professional or licensee shall also include all individuals placed on an interim list of environmental professionals pursuant to section 22a-133v of the Connecticut General Statutes.

(b) General
(1) In order to establish and maintain a high standard of integrity, skills and practice in the environmental profession and to safeguard the environment and the health, safety, property, and welfare of the public, the following rules of professional conduct shall apply to every licensed environmental professional. The Board may conduct investigations regarding the professional conduct of any licensee.
(2) Each licensee and applicant shall be deemed to be thoroughly familiar with all the provisions of this section.
(3) This section shall apply to all professional services provided by a licensee in Connecticut, even if a license issued pursuant to section 22a-133v of the Connecticut General Statutes is not required to provide such services.
(c) Professional Competency
(1) In providing professional services, a licensee shall act with reasonable care and diligence and shall apply the knowledge and skill of a licensee in good standing practicing in the applicable field at the time such services are performed.
(2) A licensee may perform professional services only when qualified by education or experience, and only to the extent such services involve activities with respect to which such licensee is so qualified. In rendering professional services, a licensee may rely, in part, upon the advice of one or more persons whom such licensee determines are qualified by education or experience to the extent that such reliance is consistent with the common and accepted practice of a licensed environmental professional.
(d) Professional Conduct
(1) In the rendering of professional services, a licensee shall, at all times, hold paramount the health, safety and welfare of the public and the environment.
(2) In rendering professional services, a licensee shall at all times:
(A) Exercise professional judgment;
(B) Follow the requirements and procedures set forth in the applicable provisions of sections 22a-133o, 22a-133x, 22a-133y and 22a-134a of the Connecticut General Statutes, sections 22a-133k-1 through 22a-133k-3, inclusive, sections 22a-133v-1 through 22a-133v-8, inclusive, and 22a-133q-1 of the Regulations of Connecticut State Agencies, and any other statute, regulation, permit or other license, approval, or order of the Board or the Commissioner; and
(C) Make a good faith and reasonable effort to identify and obtain the relevant data and other information evidencing conditions at a parcel and identify and obtain such additional data and other information as necessary to discharge such licensee's obligations under sections 22a-133o, 22a-133x and 22a-133y and 22a-134a of the Connecticut General Statutes, and sections 22a-133v-1 through 22a-133v-8, inclusive, and 22a-133q-1 of the Regulations of Connecticut State Agencies.
(3) If after rendering professional services at a parcel, a licensee learns that a condition at such parcel, relevant data or other information which existed at the time such services were rendered, leads to a conclusion or recommendation contrary to, or significantly different from, the one previously expressed by such licensee, such licensee shall promptly:
(A) Notify his or her client in writing of such, and
(B) Notify the Commissioner if such conclusion or recommendation was expressed to the Commissioner in a verification or other document pertaining to a verification.
(4) A licensee shall not allow the use of his name by, or associate in a business venture with, any person or firm which such licensee knows or reasonably should know is engaging in fraudulent business or professional practices.
(5) A licensee shall not, whether orally or in writing, falsify, omit or misrepresent relevant facts concerning such licensee's:
(A) Past accomplishments or the academic or other qualifications of such licensee; and
(B) Employers, employees, associates, joint ventures and their past accomplishments or academic or professional qualifications.
(6) A licensee or applicant shall cooperate fully in an investigation conducted by the Commissioner or the Board.
(7) No licensee whose license has expired, and any other individual who does not have a license, shall render or offer to render professional services or represent himself as being a licensed environmental professional.
(e) Conflict of Interest
(1) A licensee shall not accept monetary or other compensation or render professional services, pertaining to a parcel, from persons having or potentially having conflicting or potentially conflicting interests, unless such licensee fully discloses in writing to each such person such conflict or potential conflict and each such person agrees in writing to utilize the services of such licensee notwithstanding such conflicting or potentially conflicting interests.
(2) A licensee shall not permit any person, other than an employer, partner, employee, or associate in a professional firm, to share in the fees for professional services such licensee renders or will render, unless the fee splitting arrangement between such licensee and any other person has been fully disclosed to and agreed to in writing by the client engaging the services of such licensee.
(3) A licensee shall conscientiously avoid a conflict or potential conflict of interest with such licensee's client, but when unavoidable shall immediately upon learning of such conflict or potential conflict, fully disclose in writing to the client the nature and source of such conflict or potential conflict. If the conflict or potential conflict is irresolvable, such licensee shall terminate the rendering of professional services to such client.
(4) A licensee shall not be involved in any way, or in any way attempt to influence, the making of a decision by a public body on which such licensee serves regarding any work such licensee or such licensee's firm has been retained to perform.
(5) A licensee shall not directly or indirectly solicit or accept a gift, loan or other benefit other than a fee from any person, including, but not limited to a client, contractor, or subcontractor if such benefit:
(A) Influences, or reasonably gives the appearance that it could influence the judgment or findings of such licensee; or
(B) Could give rise to the appearance of a conflict or impropriety.
(6) A licensee shall not solicit or accept a contract to render professional services for or from a public body on which he or she serves as a member, employee, or advisor. Such licensee shall not participate as a member, advisor, or employee of a public body with respect to actions or deliberations which pertain to services provided to such body by such licensee.
(7) A licensee shall not affix, or allow his or her seal to be affixed, on a verification for a parcel in which his or her employer has a financial interest, exclusive of professional services fees.
(8) A licensee shall not offer, directly or indirectly, to give to a person, except to a full time employee of such licensee or of such licensee's employer, or a public body any commission, political contribution, loan, gift or other consideration in order to secure work.
(f) Contingent Fees

A licensee shall not solicit, offer or render professional services pursuant to any contingent fee arrangement.


Conn. Agencies Regs. § 22a-133v-6
Effective June 2, 1997; Amended August 6, 2012; Amended August 7, 2015

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