(a) Any person or entity, including the board or its staff, may file a complaint alleging a violation of this chapter against any individual licensee, certified intern, or firm holding a certificate of authorization or against an unlicensed individual or firm. The complaint shall be in writing, shall be signed by the complainant, shall state specifically the facts on which the complaint is based, and shall be filed with the executive director of the board.

Attorney's Note

Under the Alabama Code, punishments for crimes depend on the classification. In the case of this section:
ClassPrisonFine
Violationup to 30 daysup to $200
For details, see Ala. Code § 13A-5-7
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Terms Used In Alabama Code 34-11-11.2

  • circuit: means judicial circuit. See Alabama Code 1-1-1
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Ex officio: Literally, by virtue of one's office.
  • following: means next after. See Alabama Code 1-1-1
  • person: includes a corporation as well as a natural person. See Alabama Code 1-1-1
  • Quorum: The number of legislators that must be present to do business.
  • state: when applied to the different parts of the United States, includes the District of Columbia and the several territories of the United States. See Alabama Code 1-1-1
  • writing: includes typewriting and printing on paper. See Alabama Code 1-1-1
(b) The board may designate one or more individuals to investigate and report to it on any matter related to its lawful duties and may employ legal counsel as the board may deem necessary or desirable. An investigation may be made upon receipt of a complaint. The board may resolve violations by agreement between the board and the respondent with or without the filing of formal charges.
(c) All complaints shall be reviewed by an investigative committee designated by the rules of the board. After review, the investigative committee shall determine or recommend, as appropriate, if charges are warranted. The charges shall conform to the Administrative Procedure Act.
(d) With the consent of the respondent, the board may conduct an informal hearing without meeting the requirements of the Administrative Procedure Act at which no action shall be taken other than a reprimand, public or private.
(e) All charges, unless dismissed as unfounded or trivial, or unless settled informally, shall be heard by the board within a reasonable time.
(f) The time and place for the hearing shall be fixed and a copy of the charges, together with a notice of the time and place of the hearing, shall be personally served on or mailed to the last known address of the respondent at least 30 days before the date fixed for the hearing. At any hearing the respondent shall have the right to appear in person or by counsel or both, to cross-examine witnesses in his or her defense, and to produce evidence and witnesses in his or her defense. If the respondent fails or refuses to appear at the hearing, the board may proceed to hear and determine the validity of the charges in the respondent’s absence.
(g) If after the hearing a majority of members of the board present vote to find the respondent guilty of the charges, the board shall impose one or more of the disciplinary penalties set forth in this section or Section 34-11-11. Any fine or penalty imposed may not exceed five thousand dollars ($5,000) for each count or separate offense. The written decision of the board shall be delivered personally to the respondent or sent by certified mail, return receipt requested, to the last known address of the respondent.
(h) If disciplinary action from a hearing results in imposing a fine or civil penalty against a licensee or certificated firm, the board may not renew the certificate for the licensee or certificated firm until the fine or penalty is paid in full. In the event that the fine or civil penalty is subsequently set aside on judicial review, as provided in the Alabama Administrative Procedure Act, the respondent shall be entitled to a prompt refund of the amount of the fine or penalty, but shall not be entitled to interest.
(i) When a member of the board is unable to continue the hearing either by disqualification or for any other reason, and the board is unable to reach a quorum, the Governor shall appoint as many ex officio members as is necessary to reach a quorum from a list of three persons submitted for each place by the committee of nine as specified in Section 34-11-30. These ex officio members shall serve on the board only for that hearing for which they were appointed and they may be reappointed for subsequent hearings if necessary. Ex officio members must meet the same board member qualifications as outlined in this chapter.
(j) The respondent shall be responsible for the cost of the disciplinary action if found in violation of this chapter.
(k) In determining the fine or civil penalty to be assessed pursuant to this chapter, the board may consider all of the following factors:

(1) Whether the amount imposed will be a substantial economic deterrent.
(2) The circumstances leading to the violation.
(3) The severity of the violation and the risk of harm to the public.
(4) The economic benefits gained by the violator as a result of non-compliance.
(5) Consistency of the fine or civil penalty with past fines or civil penalties for similar offenses, or justification for the fine or civil penalty amount.
(l) An action may be brought in the Circuit Court of Montgomery County to require compliance with any order of the board.
(m) When an order for recovery of costs is made and timely payment is not made as directed in the board’s decision, the board may enforce the order for payment in the Circuit Court of Montgomery County. This right of enforcement shall be in addition to any other rights the board may have as to any person directed to pay costs.
(n) In any action for recovery, the board’s decision shall be conclusive proof of the validity of the order of payment and the terms for payment.
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