A Contingent Bonus, an Omitted Encroachment, and an Expired Firm Certificate
A licensed Indiana surveyor is retained by a developer to prepare a boundary survey and plat for a 12-lot subdivision. In the field, the surveyor finds that the neighboring property's detached garage encroaches 4.2 ft onto the subject property and that a recorded sanitary sewer easement crosses proposed Lots 3 and 4. The developer says, 'Leave the garage and the easement off the plat; the lender won't fund if they show up. I'll pay you a $2,500 bonus if you get it recorded by Friday.' The surveyor's unlicensed intern performed the boundary analysis and drafted the plat, and the licensed surveyor has not reviewed the field notes or computations. The developer also asks the surveyor to sign and seal the previous surveyor's 2019 plat because it is already in the county system. The surveyor is licensed in Indiana, but the firm's Indiana certificate of registration has expired.
1. Identify the ethical and regulatory problems and state what the surveyor must do.
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There are multiple violations. First, a contingent bonus tied to a favorable result is prohibited; the fee must not depend on the surveyor's professional opinion. Second, omitting the garage encroachment and the recorded easement would misrepresent the property to the lender, the county, and later purchasers; the surveyor must show them and explain their effect. Third, an unlicensed intern may assist, but the licensed surveyor must directly supervise, review the analysis and computations, and take responsibility before sealing. Sealing without review is misrepresentation. Fourth, the firm cannot offer or perform surveying through an expired Indiana certificate; the surveyor must confirm the firm's registration status and renew or practice through a properly registered entity. The surveyor should stop, advise the developer in writing, correct the conflicts, and decline to record a false plat. If the developer insists, withdraw from the engagement.
2. Can the surveyor sign the 2019 plat or accept the bonus? Explain.
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No. The 2019 plat is the previous surveyor's instrument; signing and sealing it would falsely represent that the current surveyor prepared or directly supervised the work. A surveyor may review prior work, but should not seal another surveyor's plat as if it were his own. The $2,500 bonus is contingent compensation and must be refused; accepting it would compromise independence and could violate the board's rules. The surveyor can offer a written review letter or prepare a new plat based on his own work. If the prior plat is being relied on, the surveyor should verify its basis, monuments, and computations; do not simply re-seal it because the county already has it.
3. The developer threatens to withhold the fee. What are the surveyor's obligations and options?
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The fee dispute is a contract matter, but it does not justify falsifying a plat or abandoning professional obligations. The surveyor should document the scope, the additional work caused by the developer's requests, and any termination; bill for services actually performed. If the surveyor withdraws, he must protect the client's interests by returning or retaining records according to the contract and Indiana requirements, and by not improperly withholding work product. The surveyor should not threaten to report the developer solely to collect a fee, but if the developer's conduct amounts to fraud or a threat to public safety, the surveyor may have a duty to report or withdraw. A demand letter or mediation is preferable. The surveyor should not sign a false certification under pressure; professional integrity and the public's reliance on the plat outweigh the fee.