Alabama Administrative Code Chapter 330-X-16 — Disciplinary Action

330 Alabama State Board of Registration for Professional Engineers and Land Surveyors

Ala. Admin. Code r. 330-X-16-.01 Complaints

The Board may initiate action in cases where a person's actions or business entity's actions are in violation of the law. Complaints must be filed within two years of the date the violation occurred or within two years of the date of the discovery of the violation whichever is later but no later than 10 years from the date of the violation. Any violation that was caused by fraud, deceit, or concealment, however, is not subject to the 10-year time limitation. Upon receipt of a signed complaint from any person that an individual has violated the law and/or the rules of the Board, the Board may assemble the facts, obtain legal guidance, follow the case to completion based on the legal guidance given and begin administrative action, levy a civil administrative penalty, file a civil action, and/or refer the matter for criminal prosecution.

(1) A complaint initiated by an individual or entity against a licensee or non-1icensee shall be submitted in a format provided by the Board and shall contain:

(a) Name and address of the complaining party as well as the name and address of the individual or entity against which the complaint has been filed.

(b) A plain and concise statement of the facts which indicate that the provisions of Code of Ala. 1975, Chapter 11, Title 34, rules promulgated by the Board, or Rules of Professional Conduct (Code of Ethics) may have been violated.

(c) The signature of the complainant.

(2) A complaint may be initiated by the Board or board staff against a licensee or non-1icensee. The complaint shall be referred to an investigative committee to determine if sufficient facts are present that indicate provisions of Chapter 11, Title 34, Code of Ala. 1975, Rules promulgated by the Board, or Rules of Professional Conduct (Code of Ethics) have been violated. If sufficient evidence is present, the investigation will proceed in strict accordance with due process.

(3) All disciplinary cases involving geology/ engineering or other profession overlaps will be referred to the board issuing the license for hearing and disposition. The complaining board may have a board member or designated representative at the hearing for liaison and evidence as necessary.

History

• Author: William R. Huett, (Executive Director), Bonnie Kelly
• Authority: Code of Ala. 1975, §§34-11-11, 34-11-15, 34-11-16, 34-11-35.
• Filed September 22, 1982. Amended: Filed November 14, 1984; September 15, 1987; July 13, 1992. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed April 29, 2003; effective June 3, 2003. Amended: Filed December 15, 2004; effective January 19, 2005. Amended: Filed October 30, 2006; effective December 4, 2006. Amended: Filed December 12, 2008; effective January 16, 2009. Amended: Filed June 22, 2012; effective July 27, 2012. Amended: Filed August 5, 2015; effective September 9, 2015. Amended: Published November 30, 2021; effective January 14, 2022. Amended: Published November 30, 2022; effective January 14, 2023. Amended: Published December 31, 2024; effective February 14, 2025.

Ala. Admin. Code r. 330-X-16-.02 Probable Cause

Upon receiving a complaint the Executive Director shall refer the complaint to one member of the Board; provided, however, that if the complaint is first made to a Board member, then it shall be referred to that Board member. The Board member to whom a complaint is referred, the Executive Director, and the Board’s attorney, (Investigative Committee), shall determine appropriate action and/or whether probable cause exists. If charges are filed, the Board member who was a member of the Investigative Committee that made the probable cause determination shall not sit as a member of the Board at the disciplinary hearing held pursuant to the charges.

History

• Author: Board
• Authority: Code of Ala. 1975, §§34-11-11, 34-11-16, 34-11-35.
• Filed September 22, 1982. Amended: Filed November 14, 1984; July 13, 1992. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed June 19, 2008; effective July 24, 2008. Amended: Filed August 5, 2015; effective September 9, 2015.

Ala. Admin. Code r. 330-X-16-.03 Charges

(1) The Board through its Investigative Committee shall instruct the Board’s attorney to prepare charges once the Investigative Committee determines that probable cause exists.

(2) The charges shall be sent certified mail, return receipt requested, to the most recent address of the respondent and shall be mailed at least 30 days prior to the scheduled date of the hearing. A copy shall also be sent first class mail.

(3) The charges will contain a short and plain statement of the matters asserted and give notice in compliance with the Alabama Administrative Procedure Act, Section 41-22-12(b) and Code of Ala. 1975, Section 34-11-11. If the Board is unable to state the matters in detail at the time the notice is served, the initial notice may be limited to a statement of the issues involved. Thereafter, upon application, a more definite and detailed statement shall be furnished.

History

• Author: Board
• Authority: Code of Ala. 1975, §§34-11-11, 34-11-16, 34-11-35, 41-22-1(b).
• Filed September 22, 1982; July 13, 1992. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed June 19, 2008; effective July 24, 2008. Amended: Filed August 5, 2015; effective September 9, 2015.

Ala. Admin. Code r. 330-X-16-.04 Pre-Hearing Discovery

(1) Pre-hearing discovery shall be permitted in accordance with this rule to the extent necessary to prevent fraud, conserve the Board's time, prevent undue surprise at hearing and facilitate the carriage of justice.

(2) The attorney for the Board or the respondent may upon application to the Hearing Officer, or the person appointed to act as Hearing Officer, obtain discovery regarding any matter not privileged which is relevant to the subject matter involved in the pending action, whether it relates to the charges of the Board or the defense of the respondent.

(3) Methods of Discovery.

(a) Upon written application to the Hearing Officer, or the person appointed to act as Hearing Officer, the following discovery shall be allowed or ordered:

1. Deposition upon oral examination of any expert witness.

2. Interrogatories to respondent.

3. Order for production and copying of documents and things and entry upon land for inspection and other purposes, against any person.

(b) The discovery must be had in accordance with any terms and conditions imposed by the Hearing Officer, or the person appointed to act as Hearing Officer. The Hearing Officer, or the person appointed to act as Hearing Officer, may impose any such terms and conditions as are just upon discovery in order to protect a person from annoyance, embarrassment, oppression, or undue burden or expense.

History

• Author: Alabama State Board of Registration for Professional Engineers and Land Surveyors
• Authority: Code of Ala. 1975, §34-11-35.
• Filed September 22, 1982. Amended: Filed July 13, 1992. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed June 19, 2008; effective July 24, 2008.

Ala. Admin. Code r. 330-X-16-.05 Disciplinary Hearings

(1) Conduct of Hearing.

(a) Hearing Officer. The Board may, in its discretion, and subject to the applicable provisions of the Alabama Administrative Procedures Act appoint a person to act as Hearing officer at disciplinary hearings. In the event a Hearing officer is appointed to preside at the hearing, he or she shall rule on all questions of evidence and procedure, not withstanding any other provisions of these rules to the contrary. The Board may, in its discretion and subject to the applicable provisions of the Alabama Administrative Procedures Act, appoint a Hearing officer to hear the evidence and submit a recommendation to the Board, including recommended finding of facts and conclusions of law at disciplinary hearings. The Board will consider the Hearing officer’s recommendations and the Board shall issue an appropriate administrative order approving, modifying or rejecting the Hearing officer’s recommendation.

(b) Plea. The respondent shall plead either “guilty” or “not guilty” to the charges.

(c) Opening Statement. Each side shall be permitted to make a short opening statement.

(d) The Board shall present its evidence, followed by the respondent, followed by rebuttal by the state. Each witness called may be examined in the following manner:

1. Direct examination.

2. Cross-examination.

3. Examination by Board.

4. Re-direct examination.

5. Re-cross examination.

6. Re-examination by Board.

(e) Closing Argument. Each side shall be permitted to make a short closing statement summarizing the evidence presented and urging the application of relevant law to the evidence presented.

(f) The Board may request one or both sides to prepare within seven days a proposed order of the Board for the Board's consideration including findings of fact, official notice and conclusions of law. Underlying facts of record which support the findings should be cited.

(g) Order. Following completion of the hearing or upon receipt of the Hearing officer’s recommendations, findings of facts and conclusions of law, the Board shall issue an order within 30 days, which shall include findings of fact, official notice taken, and conclusions of law stated separately. A copy of the order shall be delivered by certified mail, return receipt requested, and first-class mail, postage prepaid, to the respondent or if represented by counsel, to his or her counsel of record.

(2) Evidence. Evidence shall be admitted in accordance with the Alabama Administrative Procedure Act, Code of Ala. 1975, Section 41-22-13. Relevant Federal, State, and local codes as well as relevant engineering and land surveying society codes, guidelines, and standards may be admitted into evidence in disciplinary proceedings before the Board to set forth standards generally accepted by the professions.

(3) Other. The hearing shall be conducted in compliance with the provisions of the Alabama Administrative Procedure Act, Code of Ala. 1975, Chapter 22, Title 41. If the accused person or corporation fails or refuses to appear, the Board may proceed to hear and determine the validity of the charges.

(4) Cease and Desist. In addition to or in lieu of the sanctions provided in this chapter, the board may issue an order to any individual or firm engaged in any activity, conduct, or practice constituting a violation of this chapter, directing the individual or firm to cease and desist from the activity, conduct, or practice, or the performance of any work then being done or about to be commenced.

History

• Author: Rick Huett (Executive Director), Bonnie Kelly and Griffin Pritchard, Alabama State Board of Registration for Professional Engineers and Land Surveyors.
• Authority: Code of Ala. 1975, §§34-11-35, 41-22-13, 41-22-16(c), 41-22-19(d), 34-11-11, 34-11-16.
• Filed September 22, 1982. Amended: Filed November 14, 1984; September 15, 1987; March 5, 1990; July 13, 1992. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed June 18, 2002; effective July 23, 2002. Amended: Filed June 19, 2008; effective July 24, 2008. Amended: Filed June 22, 2012; effective July 27, 2012. Amended: Filed July 30, 2014; effective September 3, 2014. Amended: Filed November 16, 2018; effective December 31, 2018. Amended: Published December 31, 2024; effective February 14, 2025.

Ala. Admin. Code r. 330-X-16-.06 Disciplinary Actions

(1) Upon a finding that respondent has violated any enumerated provision of Code of Ala. 1975, Sections 34-11-11, 34-11-15, 34-11-16, or any rule adopted pursuant to Code of Ala. 1975, Section 34-11-35, the Board shall impose any or all of the disciplinary penalties set forth in Code of Ala. 1975, Section 34-11-11.

(2) Stay of Execution of Order. The Board may, in its discretion, permanently or temporarily stay the execution of its order to censure, place on probation, fine, revoke or suspend a licensee respondent's license, certification of certificate of authorization. The Board may, in its discretion, permanent or temporarily stay the execution of its order to fine a non-1icensee respondent. The stay may be conditioned on any provision the Board deems appropriate under all the circumstances of a particular case.

(3) Consideration. In determining whether a license, certification or certificate of authorization should be revoked or suspended, and whether execution of the order should be stayed, and upon what conditions, the Board shall consider all relevant factors.

(4) The Board shall not accept voluntary surrender of a license, certification, or certificate of authorization to avoid possible disciplinary action by the Board.

History

• Author: Alabama State Board of Registration for Professional Engineers and Land Surveyors
• Authority: Code of Ala. 1975, §§34-11-11, 34-11-35.
• Filed September 22, 1982. Amended: Filed November 14, 1984; September 15, 1987. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed December 12, 2008; effective January 16, 2009. Amended (Rule Title Only): Filed June 22, 2012; effective July 27, 2012. Amended: Filed July 30, 2014; effective September 3, 2014.

Ala. Admin. Code r. 330-X-16-.07 Reissuance Of Licensure Or Certification After Revocation, Surrender, Or Suspension

(1) Revocation or Surrender. Any person, corporation, partnership, or firm whose license, certification, or certificate of authorization has been revoked or surrendered may apply, when permitted by Law, to the Board for reissuance of the license, certification, or certificate of authorization. Eligibility for reissuance is as outlined in Section 34-11-12, Code of Ala. 1975.

(a) In the application for reissuance, the applicant should state why the license, certification, or certificate of authorization should be reissued and should specifically set forth any changed circumstances which would justify reissuance. The fee for a reissuance application will be the same fee as set by the Board for an original application. The fee shall accompany the application.

(b) Upon receipt of such application the Board shall grant the applicant a hearing on reissuance, at which time the applicant may appeal to the Board to reissue his or her license, certification, or certificate of authorization. The hearing shall be held within a reasonable time after receipt of the application or at such time agreed upon by stipulation between the applicant and the Executive Director.

(c) At least a quorum of the Board must be present to hold a hearing.

(d) Evidence including oral testimony, shall be freely admitted. The applicant shall be allowed to have counsel present if desired.

(e) The Board shall issue a final decision within thirty days of the date of the hearing, which shall include findings of fact and official action taken. The applicant shall be delivered a copy of the decision by first class and registered mail.

(f) The decision of the Board may be appealed to the circuit court of Montgomery County within thirty day of the decision of the Board.

(g) The record on appeal shall be certified by the Executive Director of the board, and shall include the entire record including a transcript of the hearing, if a transcript is made.

(2) Suspension. Any person, corporation, partnership, or form whose license, certification, or certificate of authorization has been suspended may apply, when permitted by Law, to the Board for reissuance of the license, certification, or certificate of authorization.

(a) Thirty days prior to the completion of the suspension, the Board will send a notification to the suspended person, corporation, partnership, or firm outlining the necessary actions that need to be taken in order for the license, certification, or certificate of authorization to be reissued.

(b) If all conditions for reissuance of a license or a certificate of authorization have been met, but a request for reissuance is not received within thirty days after completion of the suspension period, the status of the license or certificate of authorization will be changed to expired.

(c) If a request for reissuance is not received within two years from the time the license is placed in expired status, a new application will be required, and the applicant must meet the eligibility requirements of the current law and administrative code.

(d) If a request for reissuance is not received within two years from the time the certificate of authorization is placed in expired status, a new application will be required.

(e) If all conditions for reissuance for a certification have been met, the status of the certification will be changed to active.

History

• Author: Rick Huett (Executive Director), Bonnie Kelly and Griffin Pritchard, Alabama State Board of Registration for Professional Engineers and Land Surveyors
• Authority: Code of Ala. 1975, §§34-11-12, 34-11-35.
• Filed September 22, 1982. Amended: Filed November 14, 1984. Amended: Filed September 23, 1998; effective October 28, 1998. Amended: Filed June 19, 2008; effective July 24, 2008. Amended: Filed June 22, 2012; effective July 27, 2012. Amended: Filed November 16, 2018; effective December 31, 2018.
• Editor's note: Rule 330-X-1-.08 was renumbered 330-X-1-.07 as per certification filed September 23, 1998; effective October 28, 1998. Original 330-X-1-.07 was repealed.

Ala. Admin. Code r. 330-X-16-.08 Conflict And Bias

(1) No Board member shall be entitled to vote in any disciplinary matter if the Board member is personally biased, or if a conflict exits with the respondent, or if such voting would violate the provisions of the Alabama Administrative Procedure Act, Code of Ala. 1975, §41-22-18(a).

(2) Any respondent in a disciplinary action who wishes to assert bias or conflict may do so by filing an affidavit asserting the disqualification together with the underlying factual bias for the assertion with the Executive Director at least three days before the scheduled disciplinary hearing.

(3) The Board shall consider the assertion of disqualification on the record as a preliminary matter at the hearing before any other action is indicated.

History

• Author: Alabama State Board of Registration for Professional Engineers and Land Surveyors
• Authority: Code of Ala. 1975, §§34-11-35, 34-11-11, 41-22-18(a).
• Filed September 22, 1982. Amended: Filed September 23, 1998; effective October 28, 1998.
• Editor's note: Rule 330-X-1-.09 was renumbered 330-X-1-.08 as per certification filed September 23, 1998; effective October 28, 1998.