Investigating and Evaluating Disciplinary Actions
At this time, there is no international database in which to report and view disciplinary actions
that have occurred outside the United States. The NCEES Committee on Law Enforcement has
provided the following guidelines for member boards to assist in the investigation of
disciplinary actions that have occurred outside the United States.
It is recommended that all licensure applications, including renewals, require the applicant to
report any disciplinary actions taken against the registrant’s license in another jurisdiction or
any actions that were taken against the applicant as a result of his or her practice of
engineering or surveying. This is in addition to criminal convictions and other violations. The
Committee on Law Enforcement has prepared a sample affidavit for use during the application
process to deal with disciplinary actions that have occurred outside the United States
(appendix).
It is also recommended that boards include a section in their law or rules requiring each
registrant to report to the board disciplinary actions or criminal convictions within 60 days.
For example, if a professional engineer (P.E.) or professional surveyor (P.S.) is found guilty of a
felony or other crime or is the subject of disciplinary action by another jurisdiction, the P.E. or
P.S. shall notify the board in writing within 60 days.
Once a disciplinary action is identified, most likely from the licensee self-reporting, the
following steps should be taken:
1. Contact the issuing jurisdiction to obtain the final order, background information, and any
other additional information.
2. When necessary, conduct interviews of witnesses. Collect additional information/evidence
that may provide additional detail about the circumstances surrounding the disciplinary
action.
3. Conduct an interview of the applicant or request a written response affording an
opportunity to furnish an explanation of the disciplinary action.
4. Review the final order and additional information to determine if the discipline meted out
rises to the level that would require board action. If the disciplinary action rises to the level
requiring formal action, then present it to board. (If the disciplinary action did not require
board review, it is advisable to place the final order and other pertinent documents in the
applicant’s file.)
5. If the board elects to pursue formal action, prepare charges and issue opportunity for
hearing. (See NCEES Model Rules 250.30.)
6. Post action taken on the NCEES Enforcement Exchange.
Prepared by the 2009–10 Committee on Law Enforcement
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Appendix: Sample Affidavit
State of ____________
County of ____________
Before the undersigned, an officer duly commissioned by
the laws of ____________, on this _________ day of _________, 20___,
personally appeared _______________________
who having been first duly sworn depose and say:
□ I have not been disciplined by any professional or regulatory body in any foreign
jurisdiction for professional actions as a(n) ___________________________ .
[engineer or surveyor]
□ I have been disciplined by any professional or regulatory body(s) in (any) foreign
jurisdiction(s) for professional actions as a(n) ___________________________ which are
listed below.
[engineer or surveyor]
I hereby give my permission for such professional or regulatory bodies to release any and all
records related to said discipline to the Board for the purpose of determining my fitness to be
licensed as a professional ___________________________ .
[engineer or surveyor]
Jurisdictions
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
Attached is an Apostille (Convention de La Haye du 5 octobre 1961) from the Secretary of State,
State of _____________ certifying this affidavit.
Witness: ______________________________
[clearly print name below signature]
Sworn and subscribed before me this __________day of _________, _________ A.D.
Notary Public: ____________________________
My commission expires: ____________________
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