Potential Sanctions for Professional Engineers in Disciplinary Proceedings

The Texas Board of Professional Engineers and Land Surveyors (PELS) is the state agency in Texas that licenses and regulates professional engineers and land surveyors. Complaints against any professional engineers can result in disciplinary proceedings, which, in turn, can lead to significant sanctions and the loss of their licenses. If you are facing a complaint that someone has filed with PELS alleging that you have violated a law or rule related to your profession, you likely need the advice and counsel of an experienced engineer license defense attorney.

PELS Jurisdiction Over Complaints

When PELS receives a complaint about a professional engineer, the first question is whether the agency has jurisdiction over the complaint. PELS has jurisdiction over all complaints alleging violations of a rule or law that governs professional engineers. If PELS has jurisdiction over the complaint, the agency will move forward with an investigation and, ultimately, recommend a disposition of the complaint to the PELS Executive Director (ED). 

The ED then reviews the complaint, investigation report, and recommendations. Depending on the investigation findings and recommendations, the ED may dismiss the complaint or recommend disciplinary proceedings. The Director of Compliance and Enforcement (DC&E) initiates all formal disciplinary proceedings against licensees. Typically, the first step of the DC&E is to propose administrative sanction(s) related to the violation(s) that the licensee allegedly has committed, as well as findings justifying the sanction(s).

Potential Sanctions to Resolve Disciplinary Complaints

Under 22 Tex. Admin. Code  Sec. 139.31, a PELS disciplinary order may include various sanctions against professional engineers, including the following:

  • Revocation of a license or registration;
  • Suspension of a license or registration;
  • Probation of a suspended license or registration (all or part of the duration of the suspension period);
  • Refusal to renew a license or registration;
  • Issuance of a formal or informal reprimand;
  • Cease and desist order;
  • Voluntary compliance agreement;
  • Emergency suspension; or
  • Assessment of an administrative penalty.

Recommended Statutory Sanctions for Certain Violations

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22 Tex. Admin Code §139.35 includes various tables of standard sanctions that PELS may impose against licensees for specific violations of the rules or laws that govern professional engineers. The sanctions included in these tables are classified as those that PELS may impose against a person and/or business entity for specific violations, a person or business entity for violations involving firm registration, and a government entity and/or its authorized representative. 

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These recommended sanctions are further classified according to the type of violation involved and whether the violation is a first-time or subsequent occurrence. For instance, violations against licensees are divided into the following categories: Engineering Misconduct, Licensing, Ethics Violations, Improper Use of Seal, and Administrative. Other violations that either a person or a business entity may commit are listed in a second table. Less serious violations, such as “use of a noncompliant seal” under §137.31, typically result in a reprimand and a small administrative penalty (such as $250 concerning this violation). 

In contrast, more severe violations have much more severe penalties. For example, in the case of “inducement to secure specific engineering work or assignment” in violation of §137.639(c)(4), the recommended penalty is a two-year suspension and a $4,000 administrative penalty. 

A third table contains sanctions for violations involving firm registration. This table calls for voluntary compliance for a first occurrence or a relatively small administrative penalty for a few violations. However, the table does recommend a $750 penalty for a first violation of §1001.405 and §137.77(d)-(e) instead of voluntary compliance. All second occurrences of these violations call for higher administrative penalties and cease and desist orders in some cases.

The four tables govern violations by government entities, such as failing to engage a professional engineer, accepting engineering plans, specifications, and estimates not prepared by a professional engineer, and failing to ensure that engineering construction is performed under the supervision of a professional engineer. The recommended sanction for these violations is voluntary compliance for a first offense, a $5,000 fine, and a cease and desist order for a second offense. 

Aggravating and Mitigating Factors that May Impact Recommended Sanctions

While PELS is not required to impose sanctions for the violations indicated in the tables, the tables contain recommended sanctions that apply in many, if not most, cases. Ultimately, however, PELS’s sanctions may be less than or greater than the recommended ones. PELS takes the following factors into consideration in determining whether to increase or decrease the severity of a sanction for a particular violation during disciplinary proceedings:

  • The seriousness of the violation, including the nature, circumstances, extent, and gravity of the prohibited act and the hazard or potential hazard created to the health, safety, or economic welfare of the public;
  • The history of prior violations of the respondent;
  • The severity of the penalty necessary to deter future violations;
  • Efforts or resistance to efforts to correct the violations;
  • The economic harm to property or the environment caused by the violation; and
  • Any other matters impacting justice and public welfare, including any economic benefit gained through the violations.

Additionally, administrative penalties range from $100 to $5,000 per violation. A separate violation exists for each day that a violation occurs or continues. 

Get the Advice You Need About Your Professional Engineering License

When you face the potential loss of your career as a result of misconduct allegations, you cannot risk navigating this complex situation on your own. The professional engineer license defense lawyers at Bertolino LLP help professionals like you defend themselves against disciplinary proceedings by their licensing boards. We can examine your circumstances and help you devise the most effective strategy to protect your license. Call us today at (512) 980-3751 or get more information about us online.

Call or text (512) 476-5757 or complete a Case Evaluation form