Enforcement Policy for Mobility Complaints

Enforcement Newsletter

August 2014

In August 2013, the Enforcement Resource Committee and ALD Committee formed a joint sub-committee to consider enforcement issues arising from cross-border practice and, in particular, how boards should coordinate with regard to complaints/disciplinary actions under mobility and whether ALD or another tool could be used to help capture such enforcement data to assist boards in regulating their licensees.

The primary concerns were that boards were approaching mobility complaints in different ways and that discipline imposed by a mobility jurisdiction would not be reflected in ALD because the licensee’s records are received from the home jurisdiction, rather than the mobility jurisdiction.In this typical scenario, a search of a licensee’s record in the home jurisdiction would not show discipline imposed by other boards through mobility.

The sub-committee was comprised of three members from each committee and the committee liaisons. After reviewing responses to a survey of the boards, the joint sub-committee developed a policy for cross-border enforcement guidelines.

The goal of the proposed policy is to promote uniformity among the boards in dealing with cross-border complaints and recommending the best practices to ensure inclusion of the relevant data in ALD. The policy has been added to the Enforcement Resource Guide (housed on the Enforcement Tools web page of this website) following the approval by the full committees of both the ALD Committee and the Enforcement Resources Committee and can be adopted in its entirety or serve as a starting point for a similar policy to be adopted by each board.

In addition to the recommended policy, NASBA is developing a solution for a state board to be able to submit these types of Board actions to the ALD in the near future.