If a state employee is also a licensed Professional Geologist in North Carolina, can the state licensing board discipline that person for violating the Code of Professional Conduct while doing their state job?
Plain-English summary
NC's Geologists Licensing Act, codified at G.S. Chapter 89E, regulates the public practice of geology in the state. The Board for Licensing of Geologists administers the Act and adopted a Code of Professional Conduct as one of its rules.
Robert Upton, the Board administrator, asked the AG how the Code applies to a registered Professional Geologist who is also a state official or employee performing assigned duties for the State. Two questions intersect:
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Does the Act apply to state employee geologists? Generally no. G.S. § 89E-6(2) exempts "officers and employees of the United States of America and the State of North Carolina practicing solely as such officers or employees." A state geologist working in their state role does not need to be licensed under the Act.
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If a state employee is voluntarily licensed, can the Board discipline them? Yes. Under G.S. § 89E-19, the Board "may refuse to grant or renew, may suspend or may revoke the license of any person licensed under this Chapter who has violated the provisions of this Chapter or a rule or regulation of the Board." The Code of Professional Conduct is a Board rule. It binds "every person holding a certificate of license as a geologist" in NC. A licensed state employee is therefore covered by the Code and disciplinable by the Board for Code violations.
The asymmetry the opinion creates. A state employee who holds a license:
- Does not need the license to do state work.
- Is bound by the Code as a licensee.
- Can lose the license for Code violations.
- Can keep doing state geology work without the license afterward, as long as the agency retains them.
A state employee who does not hold a license:
- Is exempt from the Act entirely under § 89E-6(2).
- Is not bound by the Code.
- Cannot be disciplined by the Board.
The practical consequence. A state geologist who holds a NC license is in a stricter regulatory posture than an unlicensed state geologist doing the same work. The license is voluntary for state employees. But once held, it carries the Code's obligations.
Why hold a license at all? A state employee might want a NC geologist license for portability (working outside state employment later, doing private consulting on the side under § 89E-6(2) rules, signing reports as a licensed professional rather than just as an agency employee). Once they take the license, they accept the regulatory overlay.
Currency note
This opinion was issued in 1998. Subsequent statutory amendments, court decisions, or later AG opinions may have changed the analysis. Treat this page as historical context, not current legal advice. Verify current law before relying on any specific rule, deadline, or remedy mentioned here.
NC's Geologists Licensing Act and the Board's Code of Professional Conduct have been amended several times since 1998. The basic exemption structure for federal and state employees remains. Anyone analyzing a current discipline question should check the current Chapter 89E, the current Board rules, and any subsequent AG opinions on the scope of the state-employee exemption.
Common questions
Q: What is the Code of Professional Conduct for NC geologists?
A: A Board rule that sets standards for honesty, technical competence, conflict of interest, and other professional duties for licensed geologists. It is enforceable through the Board's licensing authority.
Q: Why exempt state employees from the licensing requirement?
A: NC, like many states, treats state-employed professionals as accountable through their employing agencies rather than through external licensing. The state-employee exemption is common across professional licensing statutes (engineers, surveyors, social workers, etc.) and reflects the policy choice to avoid duplicative regulation of state work.
Q: Could a Code violation in state work also be a violation of state-employee discipline rules?
A: Yes. The licensing-board discipline and the state-employee discipline run in parallel. A bad-faith environmental assessment might trigger both Board discipline (loss of license) and state-employee discipline (loss of job, demotion, formal reprimand).
Q: Does this opinion mean a state employee's license can be revoked for work that the employing agency endorsed?
A: Possibly. The Board's discipline focuses on Code compliance. If the work violated the Code, the Board can act, even if the employing agency thought the work was acceptable. The exemption allows the employee to keep practicing geology for the State after license loss, but the license itself is gone.
Q: Can the Board investigate complaints filed by members of the public against state-employed licensed geologists?
A: The opinion says the Board has authority to investigate written charges of Code violations against licensed geologists, including state employees. The source of the complaint is not specifically discussed but the Board's general investigative authority applies.
Q: Does this affect the federal-employee exemption parallelly?
A: G.S. § 89E-6(2) exempts both federal and state employees on the same terms. A federal employee with a NC geologist license would be in the same posture: exempt from the Act for federal work, but disciplinable by the Board for Code violations if they hold the license.
Background and statutory framework
NC's Geologists Licensing Act traces back to the 1980s effort to professionalize technical fields that interact with environmental regulation. Geology in particular touches groundwater protection, mine permitting, hazardous-waste site characterization, and coastal management. The state's interest in qualified practitioners is strong.
The state-employee exemption is a standard feature of professional licensing statutes in NC. Engineers (Chapter 89C), surveyors (also Chapter 89C), social workers (Chapter 90B), and many other professions have similar exemptions. The policy rationale is that state agencies vet and supervise their own technical staff through hiring qualifications and performance management, so duplicative external licensing adds compliance cost without clear benefit.
The Code of Professional Conduct mechanism is also standard. Most NC professional boards adopt a Code as a rule under the Administrative Procedure Act, then enforce it through license discipline. The Code typically covers honesty, technical competence, conflict of interest, supervision of subordinates, and continuing education.
The asymmetry the AG identifies (state employee voluntarily licensed vs. exempt) is a sometimes-unintended consequence of the statutory architecture. A practitioner who chooses the credential also chooses the regulatory overlay. The AG opinion confirms this is the legislative intent.
Citations
- N.C. Gen. Stat. Chapter 89E (NC Geologists Licensing Act)
- N.C. Gen. Stat. § 89E-6 (public practice of geology requires license, except as specifically exempted)
- N.C. Gen. Stat. § 89E-6(2) (officers and employees of the United States and the State of North Carolina practicing solely as such are exempt)
- N.C. Gen. Stat. § 89E-19 (Board's authority to refuse, suspend, or revoke licenses for violations of the Chapter or Board rules)
Source
- Landing page: https://ncdoj.gov/opinions/board-for-licensing-of-geologists-code-of-professional-conduct-applicability-to-state-employees/
Original opinion text
March 19, 1998
Mr. Robert Upton, Board Administrator
North Carolina Board for Licensing of Geologists
P.O. Box 41225
Raleigh, NC 27629
Re: Advisory Opinion; Board for Licensing of Geologists' Code of Professional Conduct; Applicability to state employees; N.C.G.S. Chapter 89E.
Dear Bob:
By letter of February 27, 1998 you asked our opinion regarding the applicability of the North Carolina Board for Licensing of Geologists' Code of Professional Conduct ("the Code") in the case of a registered Professional Geologist performing assigned duties as a state official or employee.
The North Carolina Geologists Licensing Act ("the Act", N.C. Gen. Stat. § 89E, et seq.) provides for the regulation of the practice of geology in the State. N.C. Gen. Stat. § 89E-6 provides that "(a)ny person except as specifically exempted below who shall publicly practice or offer to publicly practice geology in this State is subject to the provisions of this Chapter." N. C. Gen. Stat. § 89E-6(2) lists "(o)fficers and employees of the United States of America and the State of North Carolina practicing solely as such officers or employees" as exempt persons under the Act. Pursuant to N.C. Gen. Stat. § 89E-19, the North Carolina Board for Licensing of Geologists ("the Board") "may refuse to grant or renew, may suspend or may revoke the license of any person licensed under this Chapter who has violated the provisions of this Chapter or a rule or regulation of the Board…"
Taken together, these provisions mean that an unlicensed state official or employee practicing solely as such is not subject to the provisions of the Act or to the rules and regulations of the Board. Furthermore, a state official or employee is not required to seek licensing under the Act. However, if a state official or employee has been certified as a licensed geologist under the Act, the Board may take action if this person is in violation of the Act or a rule or regulation of the Board. The Code is binding "upon every person holding a certificate of license as a geologist" in North Carolina and qualifies as a Board rule.
It is therefore our opinion that the Board has the authority to investigate written charges that a licensed geologist in this State has acted in violation of the Code. After such investigation, the Board may refuse to grant or renew, may suspend or may revoke the license of any geologist licensed under the Act who has violated the Code, including a state official or employee performing his or her assigned duties. However, a state official or employee who loses his or her license for violations of the Code is still exempt from the provisions of the Act, and thus would not be prevented from practicing geology for the State without a license should the agency decide to retain the person.
signed by:
Daniel C. Oakley
Senior Deputy Attorney General
Brian J. McGinn
Assistant Attorney General