W. Va. Code R. § 2-2-4 - Disposition of Complaints

4.1. Any person aggrieved by the acts of an architect may make initial inquiry to the board by letter or telephone. The board shall make and keep a record of the date and time of telephone calls making inquiry related to a complaint, together with a notation of the date a complaint form was mailed, but a complaint must be reduced to writing and received by the Board before it is considered as filed.

4.2. Any person, firm, corporation, member of the Board, or public officer may make a complaint to the Board which charges an architect with a violation of W.Va. Code § 30-1-8, W. Va. Code § 30-12-1 et seq. or of the Rules of the Board. The Board may provide a form for that purpose, but a complaint may be filed in any written form so long as it contains substantially the same information. In addition to a written narrative describing the matter complained of, the complaint should contain the following:

4.2.1. The name, address and telephone number of the person making the complaint;

4.2.2. The name, address and telephone number of the architect against whom the complaint is lodged;

4.2.3. Information as to whether there was a contract or letter of agreement with the architect relevant to the matters charged in the complaint. If there was a contract or letter of agreement, a copy should be submitted as an attachment.

4.2.4. An attachment submitting any additional documents in the possession of the complainant relevant to the matters charged in the complaint.

4.3. A member of the Board may file a written complaint against an architect based on matters within the personal knowledge of the Board member, matters disclosed by records within the possession of the Board, matters of public record that constitute grounds for disciplinary action, or upon information received through investigative activities undertaken by the Board following a telephone report by an aggrieved person. A member of the Board who files a written complaint may not participate in final deliberations or vote on the final disposition of the case, unless it is clear and the Board determines from written and oral statements that the complaint is filed as a matter of form, that the member has not prejudged the case, that only unproven allegations are intended in the complaint, and that the member filing the complaint has reached no conclusion based on the mere assertion of the charge.

4.4. Complainants are immune from liability for the allegations contained in their complaints filed with the Board unless the complaint is filed in bad faith or for a malicious purpose.

4.5. The Board shall maintain a detailed log book that assigns to each complaint received and filed a Board identification number, records the date the complaint was received, and follows the matter to disposition.

4.6. The board shall keep an active case file status sheet showing the date of each action on a complaint together with explanatory comments.

4.7. The Board shall maintain a separate file on each complaint received and filed, and each file shall have a number assigned to it.

4.8. Upon receipt of a complaint, initial review and preliminary evaluation, the Board shall send a complaint acknowledgment to the complainant stating:

4.8.1. That the matter will be reviewed by the Board;

4.8.2. That the complaint is outside the jurisdiction of the Board, or fails to state sufficient grounds to support any disciplinary action by the Board; or

4.8.3. That more information will be required in order to adequately review the individual complaint. The Board may include in its complaint acknowledgment a request for additional relevant information from the complainant.

4.9. If it is summarily determined upon receipt that the complaint is outside the jurisdiction of the Board, or fails to state sufficient grounds to support any action by the Board, the Board shall retain a copy of the complaint together with the form of acknowledgment to the complainant and a notation in the complaint log that the complaint was summarily dismissed prior to filing, but the complaint will not be assigned a file number and the complaint will not be considered filed. Copies of complaints summarily dismissed prior to filing shall be made available to any member of the Board upon request or at the next regular meeting of the Board.

4.10. Unless it is summarily determined upon receipt that the complaint is outside the jurisdiction of the Board, or fails to state sufficient grounds to support any action by the Board, the Board shall send by certified mail a copy of the complaint including any supporting documentation, and a Notice of alleged violation, to the architect for his or her written comment, and he or she shall submit a written response to the Board within thirty (30) days of the date of such correspondence, or waive the right to do so. If the architect against whom the complaint is made fails to respond to a Notice of alleged violation, the Board may issue an Order to show cause why disciplinary action is should not be imposed, in which case the architect against whom a complaint is made has the right to a hearing.

4.11. A complaint and Notice of alleged violation sent to registered architects or applicants for certification or renewal of certification are properly served when sent to their last known address. It is the responsibility of the registered architect or applicant for registration to keep the Board informed of his or her current address.

4.12. After receipt and review of a complaint, unless the complaint is determined to fall within the provisions of subdivision 4.8.2 of this rule, the Board shall cause to be conducted any reasonable inquiry or investigation it considers necessary to determine the truth and the validity of the allegations set forth in the complaint. The review of complaints and any view or investigation thereof may, at the discretion of the Board, be assigned to a committee of the Board.

4.13. At any point in its investigation of a complaint the Board may, at its discretion, assign or reassign the matter to an investigator to ascertain additional facts and report to the Board.

4.14. Upon receipt of a complaint the investigator shall, within sixty (60) days, review and investigate the same and provide the Board with a report. The report shall contain a statement of the allegations, a statement of facts, and an analysis of the complaint, the records reviewed and a statement of the investigator's findings and recommendations. The investigator shall, upon request, be afforded an opportunity to interview any person having knowledge of the matter complained of. The investigator's report and any statements of witnesses shall be placed in the complaint file.

4.15. At any time after a complaint is received and before the Board enters an order disposing of the complaint, the architect against whom the complaint is made may request an informal conference before the Board. The Board or the committee may also request the architect against whom the complaint is made, and any other person, to attend an informal conference, or to appear at a regular meeting of the Board, in order to facilitate the disposition of a complaint, dispose of procedural issues or prehearing motions, or simplify or settle issues to be raised at hearing by the consent of the parties. The Board or the committee shall give notice of the conference, which notice shall include a statement of issues to be informally discussed. When a member or staff of the board has served as the investigator making a preliminary evaluation of the complaint, that member or staff person shall attend the informal conference. At an informal conference, the statements made by either party at a conference, including any proposed disposition of the complaint, are not admissible at any subsequent hearing on the merits without the consent of all parties to the hearing. An architect against whom a complaint is made is not required to attend an informal conference when requested to do so by the Board and may not be penalized for refusing an informal conference. At an informal conference the complainant is not entitled to a say in any agreed disposition of the complaint.

4.16. The Board, its President, the complaint committee, or Secretary may issue subpoenas requiring witnesses to appear before the Board and subpoenas duces tecum to complete the Board's investigation and to determine the truth or validity of complaints, or to compel the attendance of witnesses at hearing. The investigator may request the Board or its President to issue a subpoena or subpoena duces tecum. Any such request shall be accompanied by a brief statement specifying the necessity for its issuance. Subpoenas and subpoenas duces tecum may be signed by any member of the Board or its Secretary. Written requests by a party for the issuance of subpoenas or subpoenas duces tecum as provided in this subsection must be received by the Board no later than ten (10) days before a scheduled hearing. Any party requesting the issuance of subpoenas duces tecum shall see that they are properly served in accordance with W. Va. Code § 29A-5-1(b).

4.17. At any point in the course of an investigation or inquiry into a complaint, the Board may determine that there is not and will not be sufficient evidence to warrant further proceedings, or that the complaint fails to allege misconduct for which an architect may be sanctioned by the Board, except that in the event the review and investigation of a complaint is assigned to the committee or an investigator, the committee or investigator shall make their respective findings and recommendations to the Board prior to the Board dismissing the complaint.

Notes

W. Va. Code R. § 2-2-4