2.3 Disciplinary Grounds, Hearings, Sanctions & Appeals
Key Takeaways
The Board may reprimand, require coursework, suspend or revoke a license, and assess $100 to $5,000 per violation against a person found guilty (§ 73-13-37).
The accused must receive the charges and notice of the hearing at least 30 days before the hearing date (§ 73-13-37; Rule 9.5).
The Board may stay a disciplinary action and place the guilty party on probation for no more than one year (§ 73-13-37).
An aggrieved party appeals to chancery court within 30 days after the Board's decision is forwarded, on the Board record, with a bond not exceeding $1,000 (§ 73-13-37).
The Mississippi Rules of Civil Procedure and Rules of Evidence do not apply to Board disciplinary hearings (Part 901, Rule 9.9).
Who can be disciplined, and why
Section 73-13-37(1) authorizes the Board to discipline any person or firm practicing engineering or surveying, including nonlicensees, for:
- Violating the chapter or the Board's bylaws, rules, or standards of ethics and conduct.
- Fraud, deceit, or misrepresentation in obtaining a license.
- Gross negligence, malpractice, or incompetency.
- Professional misconduct as defined by Board rules.
- Practicing or offering to practice on an expired license, or while suspended or revoked, unless abated through probation.
- Addiction to or dependence on alcohol or habit-forming drugs.
Rule 9.2 lists the Board's grounds in more detail. They include fraud in obtaining or renewing a license or Certificate of Authority; felony convictions or guilty or nolo contendere pleas; crimes involving dishonesty or related to practice; and discipline by another jurisdiction, including surrender to avoid discipline. They also include failure to provide information the Board requests; knowingly making or signing false statements, certifications, or affidavits; violating a Board order or helping another violate the law; violating the Code of Professional Conduct; and giving false testimony to the Board. The Board may also sanction a firm whose managing agents, officers, directors, owners, or managers are found guilty (Section 1.4).
How a case starts and is investigated
- Charges. Any person may prefer charges, sworn on actual knowledge or on information and belief, and file them with the Board (§ 73-13-37(2)).
- Anonymous or Board-initiated cases. When the Board has prima facie evidence of a violation, a written charge by another person is not required (Rule 9.1).
- Investigation (Rule 9.3). The Executive Director refers the charge to a Board member who is not disqualified. At the next regular meeting after the investigation, that member presents the findings.
- If the Board finds the charge frivolous, unfounded, or filed in bad faith, a majority of a quorum dismisses it and the complainant is notified in writing.
- If the Board finds reasonable grounds, it issues its own formal Complaint and Notice of Hearing. The investigating member does not vote or take part in the hearing.
Notice and pre-hearing rules
| Step | Requirement |
|---|---|
| Service | Statement of charges and notice of the hearing's time and place, personally served or sent by registered or certified mail, return receipt requested, to the last known address at least 30 days before the hearing (§ 73-13-37(2)); Rule 9.5 specifies certified mail to the address of record |
| Firms | Notice goes to the principal or officer designated as managing the practice, or to the registered agent of a foreign corporation |
| Answer | Respondent may respond in writing within 20 days of service and may have counsel |
| Discovery | No pre-hearing discovery; parties exchange witness lists and exhibit copies at least 7 working days before the hearing (Rule 9.4) |
| Continuance | Written motion no later than 5 business days before the hearing |
| Bias | Affidavit of conflict or bias filed at least 3 days before the hearing; recusal is decided first on the record (Rule 9.8) |
Informal conference (Rule 9.6). The respondent may request, or be asked to attend, an informal conference with the investigative committee: the investigating Board member, the Executive Director, and Board counsel. Counsel may attend in an advisory role. The conference is not a hearing and must be completed at least 10 days before a scheduled hearing. A settlement becomes a consent order subject to Board approval. A consent order entered after the formal complaint is voluntary and not appealable (Rule 9.7).
The hearing (§ 73-13-37(3)–(4); Rule 9.9)
The Board chair, a designated member, or an appointed hearing officer presides and may administer oaths and rule on objections. Evidence is taken under oath and may be transcribed by a court reporter. The Mississippi Rules of Civil Procedure and Rules of Evidence do not apply. Board counsel presents first, then the respondent; witnesses may be examined, cross-examined, and questioned by Board members. The Board may decide at the hearing or take the case under advisement, and must render its decision within 90 days after the hearing closes. The written decision goes by certified or registered mail, return receipt requested.
Sanctions
If a majority of the Board finds the accused guilty, it may:
| Sanction | Detail |
|---|---|
| Reprimand | Public or private |
| Education | Completion of Board-approved courses in ethics or other subjects |
| Suspension or revocation | Of a licensee's license |
| Monetary penalty | Not less than $100 nor more than $5,000 for each violation, in lieu of or in addition to the above; payable after the appeal period; unpaid penalties enforced in chancery court |
| Probation | The Board may stay its action and impose probation not exceeding one year, conditioned on no further violations |
| Costs | All or part of the costs may be taxed against the accused, the charging party, or both |
In choosing a sanction the Board weighs the factors in Rule 9.10: severity, danger to the public, actual damage, repetitions, time since the violation, prior violations, length of practice, deterrence, effect on livelihood, rehabilitation, and other mitigating or aggravating circumstances. A revoked license may be reissued by majority vote for sufficient cause (§ 73-13-37(9)), subject to the reinstatement waiting periods in Rule 6.7 (Section 1.5). Separately, the Board must suspend the license of anyone out of compliance with a child-support order under § 93-11-157 or -163. Those suspensions follow their own appeal procedure.
Appeals (§ 73-13-37(10); § 73-13-41)
- Forum: the chancery court of the county where the appellant resides, or the Chancery Court of the First Judicial District of Hinds County, at the appellant's election. A nonresident must appeal to the Hinds County First Judicial District court.
- Deadline: file a notice of appeal with the Board no later than 30 days after the decision is forwarded to the guilty party.
- Bond: set by the court, not exceeding $1,000, to cover costs.
- No supersedeas: the appeal does not automatically stay the Board's action.
- On the record: the court reviews the record made before the Board. Briefing follows the Supreme Court schedule, and the chancery court must rule within 60 days after briefing closes.
Section 73-13-41 separately lets a person aggrieved by the denial or revocation of a license or enrollment appeal to the chancery court of their county of residence, or to Hinds County's First Judicial District if a nonresident.
Recusal and substitute panels
A Board member whose objectivity is impaired must recuse or be disqualified. When a former or current Board member is the respondent, members who served with that person may not sit. If recusals leave no quorum, the Board may appoint qualified substitute panel members (§ 73-13-37(12)).
After a hearing, the Board finds a surveyor guilty of three separate violations. What is the statutory range of the monetary penalty the Board may assess for each violation?
$500 to $10,000 per violation
$1,000 flat per case
No fine; only a court may impose money penalties
Not less than $100 nor more than $5,000 per violation
The Board schedules a formal disciplinary hearing for June 20. What is the latest date the respondent can be served with the statement of charges and notice of hearing?
May 21, at least 30 days before the hearing
June 13, one week before the hearing
June 10, ten days before the hearing
Any time before the hearing begins, if the respondent appears
A resident of Lee County wants to appeal a Board order suspending her PS license. Which statement is correct?
She appeals directly to the Mississippi Supreme Court within 90 days
She files a notice of appeal with the Board within 30 days after the decision is forwarded, to the Lee County chancery court or the Hinds County First Judicial District chancery court
She must appeal to the circuit court for a new trial with a jury
The suspension is automatically stayed while any appeal is pending
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