| (continued)
21 NCAC 21 .0514 INVESTIGATION
(a) Valid complaints received by the Board shall be forwarded
to an investigator for further inquiry as to whether the acts or omissions
alleged violate the provisions of G.S. 89E, the Board's code of professional
conduct, or any other rules of this Chapter. The Board's executive director
shall notify the licensee or corporate registrant of the complaint and
advise the licensee or corporate registrant that:
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(1) He has a duty to cooperate fully with the investigation
by the Board; and
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(2) He may submit a written response to the complaint.
(b) The investigator shall collect all information needed
to determine whether a violation has occurred and the nature and severity
of the violation. Information gathered during the course of an investigation
shall be treated as confidential information in accordance with G.S. 89E-18(c)
until the Board takes disciplinary action against the licensee or corporate
registrant.
(c) After collecting information relevant to the complaint,
the investigator will submit a report consisting of the
complaint, information gathered in the course of investigation,
and the investigator's conclusion to a peer reviewcommittee for evaluation.
The peer review committee will consist of at least two professional geologists,
each of whom hold a currently valid license issued by the Board.
(d) The investigation report (including, but not limited
to, the supporting information relevant to the complaint) and the written
evaluation of the peer review committee shall be submitted to the Executive
Director of the Board to be combined with the licensee's written response
to the complaint, if any, for further proceedings in accordance with Rule
.0515 of this Section.
History Note: Authority G.S. 89E-5; 89E-17;
Temporary Adoption Eff. November 24, 1999;
Eff. August 1, 2000.
21 NCAC 21 .0515 DISCIPLINARY PROCEDURE
(a) Upon receipt of an investigation report and evaluation
from the Board's investigator and peer review committee in accordance with
Rule .0514 of this Section, the Board's Executive Director shall forward
to the Chairman of the Board (or to a member of the Board designated by
the Chairman) the investigation report, evaluation, and the supporting
documentation along with the licensee's or registrant's written response
to the complaint, if any.
(b) The Chairman (or a member of the Board designated
by the Chairman) is delegated authority to propose the disciplinary action
for the violation(s) revealed by the investigation consistent with the
provisions of G.S. 89E-19. The Chairman (or a member of the Board designated
by the Chairman) is also delegated authority to issue a summary suspension
pursuant to G.S. 150B-3(c).
(c) After review of the investigation report, evaluation,
and supporting documentation, the Chairman shall notify the licensee or
corporate registrant of the proposed disciplinary action by certified mail
sent to the last known address of the licensee or corporate registrant
as indicated by the Board's official roster. This notification shall contain
a summary of the alleged facts or conduct upon which the proposed disciplinary
action is based, the effective date of the proposed disciplinary action,
and an explanation of the licensee's hearing rights pursuant to G.S. 150B,
Article 3A. Notification for summary suspensions shall meet the requirements
of G.S. 150B-3(c).
(d) The licensee or corporate registrant has 15 days
from receipt of notification of proposed disciplinary action to file with
the Board a written request for hearing. If the licensee or corporate registrant
does not file a written request for hearing with the Board, the Board shall
receive the Chairman's recommendation on disciplinary action at its next
meeting. If a majority of the Board members agree with the Chairman's recommendation,
the proposed disciplinary action becomes a final agency decision. If a
majority of the Board members do not agree with the Chairman's recommendation,
the Board shall make a review of the facts (limited to the investigator's
report without supporting documentation) solely for the purpose of determining
whether probable cause exists to support the allegations of violation of
law and for the purpose of proposing an appropriate disciplinary action.
The Chairman shall not participate in the deliberations or the voting with
regard to either his recommendation or the Board's decision regarding a
substitute disciplinary action. A new notice of proposed disciplinary action
will be sent to the licensee or corporate registrant, if necessary, in
accordance with the procedure set out in Paragraph (c) of this Rule, and
the licensee or corporate registrant has 15 days from receipt of the new
notice of proposed disciplinary action to file with the Board a written
request for a
hearing.
(e) The licensee or corporate registrant may request
a settlement conference; however, neither the request for settlement conference
nor the Board's agreement to enter into settlement negotiations will extend
the 15-day deadline for requesting an opportunity for a hearing or any
other deadlines in the hearing process. The Chairman (or a member of the
Board designated by the Chairman) is delegated authority to negotiate a
settlement; however, the settlement agreement must be approved by a majority
of the members of the Board before the proposed disciplinary action will
be rescinded.
(f) Upon receipt of written request for hearing, the
Board may conduct an administrative hearing as authorized by G.S. 150B-38
or the Board may request the Office of Administrative Hearings to conduct
the hearing as authorized by G.S. 150B-40. Hearings shall be conducted
in accordance with the rules of this Chapter.
(g) A majority of the members of the Board will render
the final agency decision, in accordance with G.S. 150B-42, after a hearing
on the proposed disciplinary action. The Chairman, or if applicable the
designated member, who proposed the disciplinary action after a full review
of the facts available to the investigator and peer review committee will
not participate in the discussion of the contested case and will not vote
on the final decision for disciplinary action. Nothing in this Rule shall
prevent members of the Board from participating in the discussion and vote
on a final agency decision with regard to proposed disciplinary action
if they have reviewed the investigator's report without supporting documentation
solely for the purpose of determining whether probable cause existed to
support the allegations of violation and for the purpose of proposing an
appropriate disciplinary action.
History Note: Authority G.S. 89E-5; 89E-19; 89E-20;
150B-3; 150B-38 through 150B-42;
Temporary Adoption Eff. November 24, 1999;
Eff. August 1, 2000.
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