61G16-9.001. Disciplinary Guidelines

(1) Whenever the Board finds a licensee guilty of violating a provision of chapter 492, F.S., the following Penalty Guidelines shall be followed:

Statutory Violation	Description of Violation (This description is a general summary. It is not designed to be used in charging documents. Reference should be made to the statute identified for a complete statement of the substance of the violation).	Penalty Range for First Violation.	Penalty Range for Subsequent Violation.
(a) Violation of: Section 492.109, F.S.	Failure to file changes of address with the Department.	Notice of Non-Compliance.	Fine up to $1000 + Costs; Plus Probation or Suspension, Revocation or Deny License all with Usual Conditions.
(b) Violation of: Section 492.111(1), F.S.	Failure of business enterprise to have name and license number of current geologist of record on file with the Department.	Notice of Non-Compliance.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(c) Violation of: Section 492.111(3), F.S.	Failure to have final papers or documents dated, signed and sealed by the professional geologist who prepared or approved the papers, prior to delivery to anyone for public record.	Fine up to $500 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(d) Violation of: Section 492.112(1)(a), F.S.	Knowingly Unlicensed practice.	Fine up to $500 + Costs; Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Suspension or Revocation all with Usual Conditions.
(e) Violation of: Section 492.112(1)(b), F.S.	Knowingly use “PG” or other title, designation or letters to indicate licensure under chapter 492, F.S.	Fine up to $500 + Costs; Reprimand or Probation all with Usual Conditions.	Fine up to $1000 + Costs; Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.
(f) Violation of: Section 492.112(1)(c), F.S.	Knowingly present as ones own the license of another.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.	Fine up to $1000 + Costs; Plus Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.
(g) Violation of: Section 492.112(1)(d), F.S.	Knowingly, giving false or forged evidence to DBPR.	Fine up to $1000 + Costs; Plus Probation, Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.	Fine up to $1000 + Costs; Plus Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.
(h) Violation of: Section 492.112(1)(e), F.S.	Knowingly, using or attempt to use a suspended, revoked, inactive or delinquent license.	Fine up to $500 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.
(i) Violation of: Section 492.112(1)(f), F.S.	Knowingly employ unlicensed person to practice geology.	Fine up to $500 + Costs; Plus Probation, Suspension or Revocation all with Usual Conditions, Plus referral to the state attorney for prosecution of the first degree misdemeanor.	Fine up to $1000 + Costs; Plus Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.
(j) Violation of: Section 492.112(1)(g), F.S.	Knowingly conceal information about violation of Chapter 492, F.S.	Fine up to $500 + Costs; Plus Probation with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension or Revocation all with Usual Conditions; Plus referral to the state attorney for prosecution of the first degree misdemeanor.
(k) Violation of: Section 492.113(1)(a), F.S.	Violation of any provision of Chapter 492, F.S. (Use only if no statutory specific provision in this rule.)	Fine up to $1000 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(l) Violation of: Section 492.113(1)(b), F.S.	Attempting to procure a license by bribery or fraudulent misrepresentations or through an error of the Board.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(m) Violation of: Section 492.113(1)(c), F.S.	Having a geology license revoked, suspended, denied or acted against in another state, territory or country.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(n) Violation of: Section 492.113(1)(d), F.S.	Being convicted, found guilty, pleading nolo to a crime, in any jurisdiction, that directly relates to the practice or ability to practice.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Revocation or Deny License all with Usual Conditions.
(o) Violation of: Section 492.113(1)(e), F.S.	Making or filing a known false report, willfully failing to file a required record or report, willfully impeding or obstructing such filing. Includes only those records signed in capacity as a professional geologist.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Revocation or Deny License all with Usual Conditions.
(p) Violation of: Section 492.113(1)(f), F.S.	False, fraudulent, deceptive or misleading advertising.	Fine up to $1000 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation, or Deny License all with Usual Conditions.
(q) Violation of: Section 492.113(1)(g), F.S.	Committing fraud, deceit, negligence, incompetence or misconduct in the practice.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(r) Violation of: Section 492.113(1)(h), F.S.	Violation of chapter 455, F.S. (use only when no reference to chapter 455, F.S., provisions is found in subsection (2)).	Fine up to $1000 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(s) Violation of: Section 492.113(1)(i), F.S.	Practicing on a revoked, suspended, inactive or delinquent license.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(t) Violation of: Section 492.113(1)(j), F.S.	Affixing licensee’s name to or permitting licensee’s name to be used on geological papers, reports or documents neither prepared by licensee or under his or her responsible supervision, direction or control.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.
(u) Violation of: Section 492.113(1)(k), F.S.	Violating a rule or violating any order previously entered in a disciplinary hearing.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.

(2) Whenever the Board finds a licensee guilty of violating a provision of Chapter 455, F.S., the following Penalty Guidelines shall be followed:

(a) Violation of: Section 455.227(1)(a), F.S.	False, fraudulent, deceptive or misleading representations in or related to the practice of professional geology.	Fine up to $1000 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation, or Deny License all with Usual Conditions.
(b) Violation of: Section 455.227(1)(b), F.S.	Intentional violation of any Board rule.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.
(c) Violation of: Section 455.227(1)(c), F.S.	Being convicted, found guilty, pleading nolo to a crime, in any jurisdiction, that relates to the practice or ability to practice professional geology.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Revocation or Deny License all with Usual Conditions.
(d) Violation of: Section 455.227(1)(f), F.S.	Having a geology license revoked, suspended, denied or acted against in another state, territory or country.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(e) Violation of: Section 455.227(1)(g), F.S.	Having been found civilly liable for knowingly filing a false report or complaint with DBPR against another licensee.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.
(f) Violation of: Section 455.227(1)(h), F.S.	Attempting or succeeding to procure or renew a license by bribery or fraudulent misrepresentation or through an error of the Board or Department.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(g) Violation of: Section 455.227(1)(i), F.S.	Knowingly conceal information about violation of chapter 492, F.S., or the rules of the Department or Board.	Fine up to $500 + Costs; Plus Probation with Usual Conditions.	Fine up to $1000 + Costs; Plus Probation, Suspension or Revocation all with Usual Conditions.
(h) Violation of: Section 455.227(1)(j), F.S.	Aid, assist, procure, employ or advise unlicensed person or entity to practice profession contrary to chapter 492 or 455, F.S., or rules of the Board.	Fine up to $500 + Costs; Plus Probation, Suspension or Revocation all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension or Revocation all with Usual Conditions.
(i) Violation of: Section 455.227(1)(k), F.S.	Failing to perform any statutory or legal obligation of licensee.	Fine up to $1000 + Costs; Plus Probation, Suspension or Revocation all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension or Revocation all with Usual Conditions.
(j) Violation of: Section 455.227(1)(l), F.S.	Making or filing a known false report, willfully failing to file a required record or report, willfully impeding or obstructing such filing. Includes only those records or reports signed in capacity as a professional geologist.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Revocation or Deny License.
(k) Violation of: Section 455.227(1)(m), F.S.	Making deceptive, untrue or fraudulent representations in or related to practice of professional geology.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Revocation or Deny License.
(l) Violation of: Section 455.227(1)(n), F.S.	Exercise influence on client for improper financial gain of licensee or third party.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.	Fine up to $1000 + Costs; Plus Reprimand, Probation, Suspension, Revocation or Deny License all with Usual Conditions.
(m) Violation of: Section 455.227(1)(o), F.S.	Practicing beyond the scope of license.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.
(n) Violation of: Section 455.227(1)(p), F.S.	Accepting and performing or delegating responsibilities licensee knows or should know he or the delegee is not competent to perform.	Fine up to $1000 + Costs; Plus Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.
(o) Violation of: Section 455.227(1)(q), F.S.	Violating any provision of chapter 492 or 455, F.S., rules of the Department or Board, or any lawful Order of the Board.	Fine up to $500 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $2500 + Costs; Plus Probation or Suspension all with Usual Conditions.
(p) Violation of: Section 455.227(1)(r), F.S.	Interfering with investigation, inspection or disciplinary proceeding.	Fine up to $1000 + Costs; Plus Reprimand, Probation or Suspension all with Usual Conditions.	Fine up to $1000 + Costs; Plus Suspension, Revocation or Deny License all with Usual Conditions.
(q) Violation of: Section 455.227(1)(t), F.S.	Failing to timely report in writing to the board within 30 days after the licensee is convicted or found guilty of, or entered a plea of nolo contendere or guilty to, regardless of adjudication, a crime in any jurisdiction.	Misdemeanor: Reprimand; a fine from $100 to $250 dollars; probation not to exceed 6 months. Felony: Reprimand; a fine from $500 to $1000 dollars; suspension with conditions of reinstatement or revocation.	Misdemeanor: Reprimand; a fine from $500 to $1000 dollars; a period of suspension with conditions for reinstatement or revocation. 3rd Misdemeanor: Reprimand; $1000 dollar fine; and Revocation. Felony: Reprimand; Revocation; and $1000 dollar fine.

(3) The Usual Conditions.

(a) Provisions which are included in all Orders.

1. This Order shall be effective upon filing by the Clerk of the Department of Business and Professional Regulation.

2. Failure to comply with the provisions of this Order shall result in further disciplinary action by the Board.

(b) Conditions imposed whenever fine and costs are imposed: Fine and costs shall be paid by cashiers check or money order payable to the Department of Business and Professional Regulation, Board of Professional Geologists, 2601 Blair Stone Road, Tallahassee, Florida 32399-0767, and received by the Department within 30 days of the effective date of the Order, or within a set period of time after probation or suspension as reflected in the Order.

(c) Conditions, all or any of which may be imposed with Probation are:

1. Licensee is placed on probation for a period of time as determined by the Board.

2. Failure to comply with any provision of this Order shall result in the filing of a new complaint and if you are found to be in violation, your license will be suspended until you are compliant.

3. Licensee shall appear before the Board, in person, at a defined frequency or set number of Board meetings during the course of the probation. The number of appearances will depend on the severity of the underlying violation.

4. At each appearance the licensee shall provide the following documents to the Board: Some or all of the following provisions may be included: (Those items designated in each case shall relate to the violation charged.)

a. Copies of all contracts in which documents have been signed and sealed since the last appearance before the Board, and/or

b. A list of the type of those documents, including the following information to whom the document was presented, including the address, and the date the document was mailed or otherwise presented, and/or

c. A list of all contracts worked upon since the last appearance with the name and address of the person or entity for whom the contract is to be performed.

5. At the final appearance the licensee shall demonstrate compliance with all the conditions of the Probationary Order, prior to the lifting of probation.

6. Licensee shall retake the following section(s) ______ of the licensing examination prior to lifting the probation. (The section designated will be that most likely to cover the underlying violation(s).)

7. Licensee must attend _____ Board meetings, the number shall be based on the severity of the underlying violation, to observe the Board’s Disciplinary Proceedings.

8. Licensee’s practice during this period of probation is limited as follows: (Limitations will depend on the severity and nature of the underlying violation.)

(d) Conditions all or any of which may be imposed when suspension is imposed.

1. Licensee shall surrender license to Board office within five (5) days of the effective date of the Order.

2. Licensee shall provide the Board, within 30 days of the effective date of the Order of Suspension, a list of all clients with whom he/she/it is contracted to perform professional geological services in the state of Florida, that is not or will not be completed on the 30th day following the effective date of the Order of Suspension. The list shall include the name of a contact person, a mailing address and phone number of the client.

3. Licensee shall inform all current clients that he/she/it must cease work on the project for the term of his/her/its suspension, provide the Board office with a copy of each cease work letter or other document sent, or a list of the person called, his/her address, phone number and the date of contact.

4. Licensee shall Sign and Seal all documents completed as of the date of suspension and deliver to clients within 30 days of the effective date of the Order.

5. Licensee shall provide clients with a list of licensed professional geologists who work in the area, so the client can try to find a substitute who can complete the project as originally contemplated.

6. Failure to comply with any provision of this Order will result in the filing of a new complaint and if you are found to be in violation, you may not serve as Geologist of Record and must notify DBPR of your Replacement within 10 days of the effective date of the Order, in addition your license will be:

a. Suspended indefinitely with no possibility of reactivation until compliant with all outstanding Orders, or

b. Revoked.

(4) Purpose of guidelines – The range of penalties set forth above is the range from which disciplinary penalties will be imposed upon licensees guilty of violation of the laws and rules. The purpose of these guidelines is to give notice of the range of penalties which will normally be imposed for specific violations. The guidelines are based upon a single count violation of the provision listed. Multiple counts of violations of the same provision, or unrelated provisions of the law or rules will be grounds for enhancement of penalties or imposition of additional penalties.

(5) Aggravating/Mitigating Circumstances – The existence of aggravating or mitigating circumstances, as set forth below, will permit deviation from the guidelines upon clear and convincing evidence. When considering a Recommended Order, the fact that a Hearing Officer may or may not have been aware of aggravating or mitigating circumstances prior to recommending a penalty, shall not obviate the duty of the board to consider them when brought to its attention prior to the issuance of a Final Order.

(a) Aggravating circumstances; circumstances which may justify deviating from the disciplinary guidelines and penalty enhancement include, but are not limited to:

1. History of previous violation of the practice act and the rules promulgated thereunder.

2. In the case of negligence, the magnitude and scope of the project and the damage inflicted upon the public.

3. Evidence of violation of professional practice acts in other jurisdictions which resulted in discipline by the regulatory authority.

4. A pattern of behavior evidencing repeated disregard of the practice act or rules.

(b) Mitigating circumstances; circumstances which may justify deviating from the disciplinary guidelines and result in a lessening of the penalty shall include, but not be limited to:

1. In cases of negligence, the minor nature of the project in question and the lack of danger to the public health, safety or welfare which resulted.

2. Lack of previous disciplinary history in this or any other jurisdiction wherein the licensee practices or has practiced.

3. Restitution of any damages suffered by the licensee’s client.

4. The licensee’s professional standing among his peers.

5. Remedial steps taken by the licensee or his firm to avoid similar violations in the future.

(6) Notice of Noncompliance – An alternative to investigation and prosecution when a complaint is received, the Department of Business and Professional Regulation may issue a Notice of Noncompliance for a first offense of the following violations:

(a) Failure to date document when affixing signature and seal.

(b) Practice by an individual with an inactive or delinquent license for less than one month.

Rulemaking Authority 455.2273, 492.104, 492.113(2) FS. Law Implemented 455.227, 455.2273, 492.113(1), (2), (3) FS. History–New 7-3-05, Amended 2-7-13, 7-3-17, 11-15-20.