Current through Register Vol. 39, No. 6, September 16, 2024
(a)
General. Licensee practice that may violate the rules of this Chapter or G.S.
89C is subject to Board investigation and disciplinary action by the
Board.
(b) Preferring Charges. Any
person who believes that any licensed Professional Engineer, Professional Land
Surveyor, or business holding a certificate of licensure is in violation of the
provisions of G.S. 89C or the rules in this Chapter may prefer charges against
that person or business, in the form of a complaint, completed to the best of
that individual's knowledge and belief, along with providing corroborative
evidence that helps support the charges. An optional complaint form is provided
by the Board to aid in filing the complaint.
(c) Preliminary Review:
(1) Upon receipt of a filed charge that meets
requirements of G.S. 89C and the rules of the Board a case shall be opened.
Other information indicating that a licensee is in violation of the provisions
of G.S. 89C or the rules of the Board may be a basis for opening a case by the
Board.
(2) A field investigation
may be performed if determined necessary by the Executive Director in order to
obtain additional information and evidence.
(3) If the Executive Director determines that
the charges are corroborated by evidence, a written notice and explanation of
the charge shall be forwarded to the person or business against whom the charge
is made and a response requested, within 15 days, to show compliance with G.S.
89C and the rules of the Board for retention of the license. Notice of the
charge and of the alleged facts or alleged conduct shall be given personally or
by certified mail, return receipt request.
(4) After preliminary evidence has been
obtained, the matter shall be referred to the Board's review committee, made up
of the following individuals:
(A) one member
of the Board who is licensed in the respective profession;
(B) the legal counsel of the Board;
and
(C) the Executive Director of
the Board or Assistant Executive Director if designated by the Executive
Director.
(5) Upon
review of the evidence, the review committee shall:
(A) recommend that the Board dismiss the
charge as unfounded or trivial;
(B)
when the charge is admitted as true, recommend that the Board accept the
admission of guilt by the person charged and order that person not to commit in
the future the specific act or acts admitted and also not to violate any of the
provisions of the Board rules or the statutes at any time in the
future;
(C) present the charge,
whether admitted or denied, to the full Board for a hearing and determination
by the Board on the merits of the charge in accordance with the substantive and
procedural requirements of the provisions of Section .1400 of this Chapter and
the provisions of G.S. 150B; or
(D)
whether the charge is admitted or denied, give written notice to the licensee
that:
(i) sufficient evidence exists which,
if not rebutted or explained, would justify the Board in taking an action set
out in Rule .1402(4) through (12) of this Chapter;
(ii) stating the nature of the evidence;
and
(iii) that unless the licensee,
within 20 days after service of said notice, deposits in the mail a certified
letter addressed to the Board and containing a request for a hearing or
settlement conference, that it will recommend that the Board take the action(s)
specified in the notice, set out in Rule .1402(4) through (12) of this
Chapter.
(d) Consultant. A consultant to the review
committee shall be designated by the Board Chair if a board member is a
complainant, witness, or respondent in a case. The consultant shall be a
licensed professional engineer or professional land surveyor, depending on the
nature of the case. The consultant shall review all case materials and make a
recommendation for consideration by the review committee as to the merits of
the case. The consultant shall review any new information presented in the
event of a settlement conference and make a recommendation to the settlement
conference committee.
(e) Board
Decision. When the review committee proceeds pursuant to Parts (c)(5)(A) or (B)
of this Rule, upon approval of the Board, notice shall be given to the party
against whom the charges have been brought and the party submitting the charge.
The Board is not required to notify the parties of the reasons of the Board in
making its decision.
(f) Settlement
Conference. When the review committee proceeds pursuant to Parts (c)(5)(C) or
(D) of this Rule, the licensee may request in writing a settlement conference
to pursue resolution of the issue(s) through informal procedures. If, after the
completion of a settlement conference, the licensee and Board's settlement
committee do not agree to a resolution of the dispute for the full Board's
consideration, the original administrative proceeding shall commence. During
the course of the settlement conference, no sworn testimony shall be taken, nor
shall any witnesses be cross-examined.
(1)
The Board's settlement committee shall be made up of the following individuals:
(A) the member of the Board who served on the
review committee or a replacement member if the member is not
available;
(B) one public member
from the Board;
(C) the legal
counsel of the Board; and
(D) the
Executive Director of the Board or Assistant Executive Director if designated
by the Executive Director.
(2) Upon review of the evidence, the
settlement committee shall:
(A) recommend that
the Board dismiss the charge as unfounded or trivial;
(B) when the charge is admitted as true,
recommend the Board accept the admission of guilt by the person charged and
order the person not to commit in the future the specific act or acts admitted
and, also, not to violate any provisions of the Board Rules or the statutes at
any time in the future;
(C) direct
that the charge, whether admitted or denied, be presented to the full Board for
a hearing and determination by the Board on the merits of the charge in
accordance with the substantive and procedural requirements of the provisions
of Section .1400 of this Chapter and the provisions of G.S. 150B; or
(D) recommend that the Board approve a
settlement agreed to by the licensee and proposed by the settlement conference
committee.
Authority
G.S.
89C-10;
89C-21;
89C-22;
Eff. February
1, 1976;
Readopted Eff. September 29, 1977;
Amended
Eff. August 1, 2011; July 1, 2009; May 1, 2009; August 1, 2000; August 1, 1998;
March 1, 1996; April 1, 1989; December 1, 1984; January 1, 1982;
Pursuant to
G.S.
150B-21.3A, rule is necessary without
substantive public interest Eff. April 27, 2019;
Amended Eff. July
1, 2020.
