Introduction
As professional engineers, we’re expected to uphold not only technical standards but also a code of ethics that protects public health, safety, and welfare. Most of us take that responsibility seriously—but every year, a small number of engineers fall short, sometimes with serious consequences.
Over the past decade, I’ve reviewed dozens of disciplinary actions across multiple states. The cases coming out of New York stand out—not just for the range of violations, but for the consistency in how engineers get into trouble. Some made simple administrative mistakes, like failing to meet continuing education requirements. Others were more serious, involving fraudulent filings, conflicts of interest, or even criminal convictions.
In this article, I share findings from a 10-year review of disciplinary actions issued by the New York State Education Department between 2016 and 2025. My goal is to highlight patterns in the violations, explain how the state handles enforcement, and help practicing engineers understand the risks before they become real. Whether you’re working in New York or elsewhere, these lessons are directly relevant to protecting your license and reputation.
Related articles:
Florida PE Disciplinary Cases: Lessons from Recent Board Actions
Case Study: A Multi-State Ethics Violation and Its Consequences
Overview of Violations
After reviewing nearly a decade’s worth of disciplinary actions in New York, some clear patterns emerge. The details vary from case to case, but most violations fall into a handful of categories that reflect where engineers run afoul of the law.
1. False Filings and Certification Abuse
One of the most common problems involves engineers signing off on documents without proper review—particularly filings with the New York City Department of Buildings (DOB). In many cases, engineers were cited for:
- Submitting plans that failed DOB audits
- Certifying work that did not meet building codes
- Filing documents with false or misleading information
In my experience, these issues often come down to poor internal review processes or the pressure to push projects through quickly. But stamping something you haven’t reviewed thoroughly can put your license—and public safety—at risk.
2. Criminal Convictions
Several disciplinary actions resulted from criminal offenses, including:
- Driving While Intoxicated (DWI) – often charged as a felony
- Theft and fraud, particularly involving public
- Sexual misconduct or harassment
- Bribery and unlawful gratuities linked to project approvals
Criminal conduct—even outside of engineering work—raises questions about judgment and trust. In New York, the Board treats these violations seriously, and they often result in indefinite suspension or full license surrender.
3. Conflicts of Interest and Fee Splitting
A number of engineers got into trouble for accepting payments from third parties or splitting fees with individuals who weren’t authorized to practice engineering. These arrangements often violate ethics rules meant to protect client trust and public transparency.
The takeaway here is simple: if someone who isn’t your client is paying you, or if you’re sharing fees with an unlicensed party, stop and check the rules—because chances are, these arrangements violate ethics rules.
4. Incompetence and Negligence
This category covered engineers who either delegated work improperly, failed to supervise junior staff, or submitted incomplete or sloppy designs. Some didn’t keep records of their sealed work or failed to maintain drawings and calculations. These cases often led to probation, monitoring, and fines—but in more serious instances, licenses were suspended.
Examples included:
- Failing to maintain design documents or working drawings
- Delegating work to unqualified individuals
- Approving work without proper supervision
- Submitting plans of poor clarity or incomplete scope
Good intentions don’t matter if the work is subpar or not properly documented. Competence includes managing the process—not just doing the design work.
5. Continuing Education Violations
Surprisingly, CE noncompliance came up often—despite being one of the easiest requirements to meet. Engineers were disciplined for:
- Letting CE credits lapse
- Falsely claiming course completion
- Practicing while technically unregistered
Continuing education compliance is one of the easiest things for regulators to verify—and one of the easiest for engineers to overlook. A missed deadline or sloppy recordkeeping may seem minor, but it can quickly escalate into a disciplinary issue that puts your license at risk.
6. Fitness to Practice and Mental Health Concerns
A small number of cases involved substance abuse, unmanaged mental health issues, or noncompliance with treatment plans. These cases were usually handled with compassion but still resulted in disciplinary action until the engineer could demonstrate fitness to practice.
Examples cited included:
- Mental health conditions
- Substance abuse
- Noncompliance with treatment or monitoring agreements
Trends and Data Insights
Looking across a full decade of enforcement activity in New York, a few important trends become clear—both in the types of violations engineers most commonly commit and in how the state responds. These trends offer valuable insight into where engineers most frequently run afoul of the rules and how the state responds.
Violation Trends Over Time
From 2016 through 2025, the number of disciplinary actions remained fairly steady, with slight increases in years when regulatory scrutiny appeared to tighten. The most frequent violations throughout the period involved documentation failures and plan certification issues, particularly with filings submitted to the NYC Department of Buildings.
While the more dramatic criminal cases get attention, most violations weren’t high-profile—they were administrative failures: forms filed without proper review, CE hours missed, plans submitted without supporting documentation. These kinds of issues are common when engineers are stretched thin, working without internal QA checks, or rushing to meet project deadlines.
Table 1 – Complete List of New York Engineering Ethics Violations (2016–2025)
| Category | Description | Count | Percentage |
| Unprofessional Practice | Fee splitting, practicing without a license, failure to comply with continuing education | 74 | 51% |
| Criminal Conduct | Convictions for DWI, Theft, Fraud, etc. | 39 | 27% |
| Professional Negligence | Errors in filings, failure to review plans, inadequate documentation | 23 | 16% |
| Dishonesty/Fraud | Falsifying records, offering false instruments, false statements | 6 | 4% |
| Other | Receiving fees from a third party, failing to maintain records | 2 | 1% |
| Total | 144 | 100% |
Penalty Patterns
When it comes to penalties, the New York State Board tends to follow a measured but firm approach. Most cases don’t result in immediate license loss—but they do carry real consequences, especially if the violation reflects poor judgment, repeat behavior, or lack of cooperation.
Suspensions and License Surrender
Suspensions—either actual or stayed—were imposed in about 1 out of every 10 cases. These were typically tied to serious issues, such as criminal convictions, certifying false filings, or failing to meet the conditions of previous disciplinary orders. License surrender was less common, but when it occurred, it was usually tied to criminal conduct or chronic noncompliance.
Probation and Fines
Probation was a common outcome, often accompanied by fines. These were typically applied when the violation was admitted, not criminal, and the engineer showed a willingness to take corrective action. Conditions of probation usually included reporting requirements, CE completion, and sometimes direct supervision of future work.
Rehabilitative Measures
More than 70% of cases involved what the state classifies as “Other” penalties—these included mandatory ethics training, public service, mental health evaluations, or substance abuse treatment. This shows that the Board isn’t just focused on punishment. In many cases, they’re giving engineers a chance to correct course and return to responsible practice.
The table below summarizes the types of penalties issued by the New York State Board over the past decade. While the numbers tell part of the story, they also reflect how the Board prioritizes accountability, corrective action, and—when possible—rehabilitation. Understanding how these penalties are applied can help you assess the real-world consequences of common missteps.
Table 2: Types of Penalties Imposed (2016–2025)
| Penalty Type | Description | Number of Cases | Percentage |
| Other (e.g., Public Service) | Additional or less common penalties | 129 | 73.7 |
| Fines | Monetary penalties | 14 | 8 |
| Probation | Monitoring and compliance requirements | 16 | 9.1 |
| Suspension | Temporary removal of license | 16 | 9.1 |
| Total | 175 | 100 |
Ethical Red Flags
Several indicators repeatedly appeared in disciplinary summaries:
- Certifying documents without direct supervision or review
- Failing to maintain required documentation
- Practicing without a valid license or CE compliance
- Accepting compensation from inappropriate third-party sources
- Delegating engineering duties to unlicensed individuals
For engineers working in high-volume environments or small firms with limited support, these issues can sneak up quickly. But that’s exactly why internal controls, documentation, and personal accountability matter so much.
Case Highlights
The following real cases from 2016 to 2025 show how different types of violations played out in practice. Each one is a reminder that disciplinary actions don’t just happen to reckless or unethical individuals—they often stem from oversights, misjudgments, or lapses in routine processes.
1. The Danger of Certifying Unreviewed Work
Year: 2024
Violation: Filed 31 TR-1 forms with the NYC Department of Buildings containing materially erroneous statements.
Category: Professional Negligence
Penalty: 6-month suspension (18 months stayed), 2 years probation, $2,500 fine.
Lesson: Engineers must carefully review and validate any documents they stamp. Certifying unchecked or delegated work can lead to serious penalties, even when errors stem from a third party.
2. Ethical Failure via Third-Party Influence
Year: 2021
Violation: Accepted fees from a third party for engineering services.
Category: Unprofessional Practice
Penalty: 1-year stayed suspension, 1-year probation, $1,500 fine.
Lesson: Accepting payment from anyone other than the client is a common and preventable ethics violation. Transparency in billing and client relationships is essential.
3. Criminal Conduct Beyond the Drawing Board
Year: 2025
Violation: Convicted of felony Driving While Intoxicated.
Category: Criminal Conduct
Penalty: Indefinite suspension until alcohol-free and fit to practice; 2 years probation upon return; $500 fine.
Lesson: Criminal behavior—whether related to engineering practice or not—can lead to license suspension. Fitness to practice includes personal conduct, especially when public trust is involved.
4. Failing to Maintain Records and Oversight
Year: 2025
Violation: Did not maintain drafts or working copies of sealed drawings for projects associated with a third party.
Category: Professional Negligence
Penalty: 2 years stayed suspension, 2 years probation, $4,000 fine.
Lesson: Documentation isn’t just good practice—it’s a regulatory requirement. Without appropriate records, your professional defense is weakened, and your seal may be viewed as irresponsible.
5. Continuing Education Isn’t Optional
Year: 2022
Violation: Failed to comply with mandatory CE requirements.
Category: Unprofessional Practice
Penalty: License surrendered.
Lesson: Many engineers assume CE compliance is a formality. In reality, failure to meet CE obligations can result in the ultimate penalty—loss of license.
These examples show how avoidable most violations are—with the right processes, awareness, and professional discipline in place. The key takeaway: don’t assume you’re immune. Engineers at all stages of their careers have ended up in these situations.
Implications for Professional Engineers
For licensed engineers, ethics isn’t just an abstract concept—it’s part of the job. The disciplinary actions reviewed here show how quickly routine decisions can turn into compliance issues if you’re not paying attention. The good news? All of these violations were entirely preventable.
Whether you’re managing large design teams or operating a solo practice, the responsibility is the same: protect the public, follow the rules, and uphold the profession’s standards.
What This Means for Practicing Engineers
1. The Professional Seal is Not Just a Stamp
When you stamp a set of plans or reports, you’re taking full ownership. That means either preparing the work yourself or thoroughly reviewing it under your direct supervision. If you haven’t seen it, checked it, and confirmed its accuracy—don’t seal it.
2. Maintain Clear and Complete Records
If something goes wrong or your work is called into question, your best defense is your documentation. Keep markups, correspondence, calculations, and anything else tied to the work you seal. No records = no defense.
3. Be Clear About Conflicts of Interest
If there’s any doubt about whether a financial or personal relationship might influence your work—or appear to—disclose it. And if a third party is paying your fee, hit pause and make sure that arrangement is fully compliant.
4. Stay Current on Continuing Education
CE requirements are among the easiest obligations to meet—and yet dozens of engineers lost their licenses over missed hours or false reporting. Track your hours, use reputable providers, and don’t leave it until the last minute.
5. Your Personal Conduct Matters
DWI charges, harassment complaints, or fraud convictions—even if unrelated to engineering—can lead to suspension or loss of license. You’re not just representing your firm or your client—you’re representing the profession.
Practical Safeguards
No one plans to end up in front of a licensing board—but the line between compliance and violation is thinner than most engineers realize. The good news is that with a few consistent habits and internal checks, you can dramatically reduce your risk of disciplinary action.
To stay in compliance and out of trouble, consider adopting the following safeguards:
- Use a certification checklist before stamping any document.
- Keep a secure archive of drafts, markups, and correspondence.
- Maintain a conflict-of-interest disclosure statement for each project.
- Implement quarterly CE tracking and proactive renewal reminders.
- Participate in regular ethics training or discussion groups within your firm.
Continuing Education as a Preventive Tool
If there’s one takeaway from reviewing 10 years of disciplinary cases, it’s this: even experienced engineers can make avoidable mistakes. Sometimes it’s a missed CE deadline, sometimes it’s poor oversight—but in many cases, the root cause is simply a gap in knowledge or professional focus.
That’s where continuing education plays a critical role. It’s not just a license renewal requirement—it’s one of the best tools we have to prevent problems before they start.
More Than a Box to Check
Too often, CE is treated like a chore—something to finish before the deadline. But the engineers who stay out of trouble aren’t just those with the most experience—they’re the ones who keep learning. Ethics updates, changes to codes, and evolving legal standards all affect how we practice. Staying informed is part of staying compliant.
Ethics Isn’t Static
The ethical landscape changes over time. New technologies, public expectations, and legal rulings shift what’s considered responsible practice. Engineers who rely on what they learned 10 or 20 years ago are often surprised to find that today’s expectations are different. Regular ethics training keeps your thinking current—and your license protected.
Specialized Training Matters
Some of the most frequent violations—particularly those involving filings with the New York City Department of Buildings—could have been prevented with targeted training on municipal procedures, permitting guidelines, and plan review requirements. For engineers practicing in high-risk jurisdictions, state-specific or city-specific courses are well worth the investment.
Our Role in Supporting Your Practice
At PDH Pro, we offer continuing education courses designed with these real-world challenges in mind. Our library includes:
- Engineering Ethics: Updated regularly with case studies and board decisions.
- State-Specific CE: Including training on New York regulations and NYC DOB processes.
- Technical Documentation: Courses focused on proper preparation, supervision, and sealing of engineering work.
- Business and Compliance: Managing risk, conflict-of-interest situations, and professional responsibilities.
By integrating real enforcement outcomes into our course development, we help engineers avoid missteps, stay compliant, and protect their licenses.
Conclusion
Engineering isn’t just technical—it’s ethical and legal. The cases in this article show how easily small missteps can lead to serious consequences. Most violations could have been avoided with better oversight, documentation, and attention to professional responsibilities.
Protect your license by staying current on requirements, taking continuing education seriously, and treating every seal or signature as a matter of public trust. It’s not about being perfect—it’s about being accountable.
Neal Harper