Disciplinary Action Exchange: Powerful Resource for Sharing Disciplinary Information

The BOC encourages all state regulators to participate in the Disciplinary Action Exchange (DAE) to help the BOC, states and consumers efficiently locate disciplinary actions. The DAE is a powerful resource as it contains final BOC disciplinary actions that have been deemed public, as well as disciplinary actions taken by state regulatory agencies. Participation and teamwork state to state in sharing information is essential to the success and transparency of the DAE.

To assist state regulators in better understanding the BOC disciplinary process, we broke down the steps below.

1) DISCIPLINARY DOCUMENTATION RECEIVED

• Complaints
  • BOC website, email and mail
• Google alerts
• State notification
  • DAE, email and mail

2) DISCIPLINARY CASE OPENED

• Investigation
• Collect documentation
• Review documentation
• Decision
  • Processed administratively if precedence has been set by Professional Practice and Discipline Committee
  • Committee reviews case if precedence has not been set
    • Committee meets monthly via conference call

3) DISCIPLINARY DECISION

• Private
• Public
  • Discipline is posted on the DAE
    • Public censure, suspension and revocation
  • Copy of discipline decision is electronically sent to state of residence we have on record

To view cases on the DAE, visit the BOC website. To submit cases to the DAE, visit AT Regulatory Connect, the secure portal for states, and click on Submit Disciplinary Action. We strongly encourage all states to participate in the DAE. If you have questions, please contact us at BOC@bocatc.org.