Lead Opinion
The West Virginia Board of Medicine (hereinafter referred to as “the Board”), appellant/appellee below, appeals an order of the Circuit Court of Harrison County. The circuit court’s order reversed a decision of the Board which had revoked the medical license of Dr. Katherine Anne Hoover (hereinafter referred to as “Dr. Hoover”), appel-lee/appellant below. The circuit court reversed the Board’s decision on the sole ground that the initiating complaint and notice of hearing had not been properly signed by an authorized official. Here, the Board contends that the signature discrepancy was insufficient to warrant reversal of its decision. After a review of the briefs and record in this matter, the circuit court’s order is affirmed in part and reversed in part.
I.
FACTUAL AND PROCEDURAL HISTORY
This ease has been before this Court on two prior occasions. See State ex rel. Hoover v. Berger,
Dr. Hoover was licensed to practice medicine in West Virginia in 1978. On May 13, 1996, the Board issued a complaint and notice of hearing (hereinafter referred to as “complaint”) against Dr. Hoover.
The evidentiary hearing took place on July 26, 2001. Dr. Hoover appeared briefly at the hearing without counsel and Dr. Hoover gave an opening statement. However, after giving her opening statement, Dr. Hoover left the proceeding. Dr. Hoover advised the hearing examiner that she had to go to work, and therefore, she would not participate in the proceedings. The hearing continued in Dr. Hoover’s absence. Several witnesses were called and numerous exhibits were introduced into evidence. At the conclusion of the proceedings, the hearing examiner issued a lengthy recommended decision dated October 31, 2001. The recommended decision found the charges against Dr. Hoover were proven, and that her medical license should be revoked, along with additional sanctions.
By order entered November 9, 2001, the Board adopted the hearing examiner’s recommendation with some modifications. The Board revoked Dr. Hoover’s medical license, but suspended the revocation and placed her on five years probation, with certain restrictions.
Dr. Hoover filed a petition for review of the Board’s decision with the circuit court. In Dr. Hoover’s petition for review, she assigned error to numerous matters. The circuit court, however, ruled upon only one issue. By order entered December 18, 2002, the circuit court found that the “signatures on [the] Complaint and Notice of Hearing of A. Paul Brooks, Jr., M.D., President, and William T. Wallace, Jr., M.D., M.P.H., Secretary, are not authentic in that said signatures were executed by Ellen Briggs, Administrative Secretary to the Executive Director.” As a result of this finding, the circuit court reversed the Board’s decision to revoke Dr. Hoover’s medical license. From this ruling, the Board filed the instant appeal.
II.
STANDARD OF REVIEW
In this proceeding, the circuit court was called upon to review a decision of an administrative agency. When an administrative decision is reversed by a circuit court,
In cases where the circuit court has [reversed] the result before the administrative agency, this Court reviews the final order of the circuit court and the ultimate disposition by it of an administrative law case under an abuse of discretion standard and reviews questions of law de novo.
Syl. pt. 2, Muscatell v. Cline,
III.
DISCUSSION
The circuit court reversed the Board’s decision to revoke Dr. Hoover’s medical license solely on the ground that the signatures on the complaint were made by an administrative secretary. Before we squarely address the merits of this issue, we must first determine whether the circuit court could properly consider the issue of the authenticity of the complaint signatures. This issue, “having fairly arisen upon the record, will be considered and determined by this Court upon its own motion.” Backus v. Abbot,
A. The Signature Requirement for Issuing a Disciplinary Complaint Against a Medical Doctor is a Jurisdictional Matter
The initial issue we must decide is whether Dr. Hoover’s contention that the complaint was not properly signed was an issue that could be raised on appeal to the circuit court. The record in this case shows that Dr. Hoover refused to put on any evidence during the proceedings before the hearing examiner. Dr. Hoover appeared briefly and gave an opening statement. During that opening statement, Dr. Hoover made the following comment: “Well, the important thing is the signature on the subpoenas and the complaint were forged.” Dr. Hoover went on to make other comments before she left the proceeding.
The law is clear in holding that “ ‘[a]n opening statement ..., having no evi-dentiary value, cannot operate to place an issue in controversy.’” State v. Richards,
In administrative proceedings ..., the circuit court is sitting in the capacity of an appellate court. In such circumstances, it is improper for that court to consider an issue that was not initially raised below. In fact, the West Virginia Administrative Procedures Act specifically directs that a circuit court’s review of an administrative proceeding
shall be conducted by the court without a jury and shall be upon the record made before the agency, except that in cases of alleged irregularities in procedure before the agency, not shown in the record, testimony thereon may be taken before the court. The court may hear oral arguments and require written briefs.
W. Va.Code § 29A-5-4(f) (1998) (Repl. Vol.1998).
Shafer,
Although nonjurisdictional issues generally may not be raised for the first time in an appeal, our cases have made clear that jurisdictional matters “‘may be raised for the first time on appeal.’ ” Easterling v. American Optical Corp.,
The Legislature enacted the West Virginia Medical Practice Act, codified at W. Va.Code § 30-3-1 (2002), et seq., specifically for the purpose of setting forth the framework for bringing disciplinary actions against physicians. See State ex rel. Hoover v. Smith,
The operative word in the quoted passage from W. Va.Code § 30-3-8 is the word “shall.” Our eases have noted that “ ‘[i]t is well established that the word “shall,” in the absence of language in the statute showing a contrary intent on the part of the Legislature, should be afforded a mandatory connotation.’ ” Retail Designs, Inc. v. West Virginia Div. of Highways,
In a case that pre-dates the rules of civil procedure, Morris v. Gates,
Although the defendants in Morris did not assign error to the unsigned complaint, this Court, sua sponte, held that “the question thus arising being jurisdictional, we think it cannot, with propriety, be ignored:” Morris,
We believe it is unnecessary to cite authority to sustain the well-settled general rule that courts and parties alike are not required to act upon pleadings the responsibility for which cannot be determined, and the further fact that affirmative pleadings, such as a bill of complaint, contain binding allegations usable against the same parties in any subsequent litigation between them and, according to some cases, by parties unknown to the proceeding in which they are entered. As we view this record, the unsigned form of a bill of complaint would not, accompanied by neither waiver nor estoppel, be sufficient to bind anyone, and therefore could not properly be regarded as an appearance.
The appellees take the position that this defect is cured by the filing of the amended bill of complaint upon which both of the decrees of sale are predicated. This contention might be maintainable if the amended bill of complaint had contained the allegations of the original bill or had included them by reference, and had been properly matured or substantive appearances entered of record. But none of these situations being shown by this record, the amended bill of complaint simply alleging the judgment lien owned by He-rold & Herold and making no reference to the original bill of complaint, save to allege that it was filed and taken for confessed, we find nothing in this record that we believe supplied what we regard as a missing element of a chancery cause, the absence of which deprives the conduct of that cause, requiring a bill of complaint for its support, of all foundation.
Morris,
Having determined that the signature requirement for initiating the complaint in this
B. The Signature Requirement for Issuing a Disciplinarg Complaint Against a Medical Doctor Cannot be Delegated
The next issue we must decide is whether the circuit court was correct in finding the Board’s president and secretary could not authorize an administrative secretary to affix their names to the complaint. The circuit court found that our decision in Clark v. West Virginia Board of Medicine,
In Clark, the Board revoked the medical license of Dr. Clark. The decision was appealed by Dr. Clark to the circuit court. Following its review, the circuit court ordered that the Board’s order be modified to provide for the suspension of Dr. Clark’s medical license for six months and a public reprimand. Both Dr. Clark and the Board appealed to this Court. The primary issues before this Court in Clark concerned whether the circuit court was correct in modifying the Board’s decision, and whether the circuit court had authority to impose community service on Dr. Clark in lieu of a suspension. The circuit court believed that it could not impose community service. This Court held that the circuit court acted correctly in modifying the Board’s decision, but that it was wrong in determining that it could not impose community service in lieu of suspension. This Court went on to “affirm in part, reverse in part, and remand th[e] case to the circuit court to impose, in lieu of suspension, the sanction of community service which is provided for in the legislative rules and the public reprimand.” Clark,
During this Court’s discussion of the issues actually presented in Clark, we sua sponte noted that subpoenas had been issued in the case that were signed by an administrative secretary on behalf of the Board president. We noted:
As the Board is granted statutory authority to issue subpoenas, clearly the preferred practice is for the President to personally sign all subpoenas, and when that is not possible or practicable, then the better practice is to designate a member of the Board rather than the investigator’s secretary to sign subpoenas.
Clark,
In the instant case, the Board contends that the quoted language from Clark was mere dicta, and, therefore, the circuit court was wrong in relying upon it to reverse the Board’s decision. We agree with the Board that the above language was dicta. See In re Assessment of Kanawha Valley Bank,
As is true of a subpoena, the signing of a complaint, be it administrative or civil, is not a trivial matter. See Howard v. Bentley,
[The signature] requirement is not simply putting ink on paper. Rather, it is a deliberate process by which the lawyer guarantees the validity of a claim. When a lawyer signs a pleading, it is not merely a pro forma act of notarization. Before affixing a signature to pleadings, the lawyer is expected to engage in a moment of reflection, review the facts, consider the law, and satisfy himself or herself that there is a good faith basis on which to commence the action. In this way, the [signature] requirement provides an essential protection for the people and businesses of the state to remain free from being sued frivolously or improperly — a protection that is at the core of an attorney’s professional responsibility.
Schaefer,
W.Va.Code § 2-2-5 states “[w]hen a statute requires an act to be done by an officer or person, it shall be sufficient if it be done by his agent or deputy, unless it be such as cannot lawfully be done by deputation.” The Board points out that in the decision of State ex rel. Ruddlesden v. Roberts,
While we believe that, as a general matter, W. Va.Code § 2-2-5 permits an officer to delegate his/her authority to an agent or deputy, there is a limit as to how far down the chain of command such delegation may go. In this opinion, we need not draw a bright line as to the permissible extent of delegation. It is sufficient, for the purposes of this opinion, for us to hold that, under W. Va.Code § 2-2-5, an administrative secretary is not an agent or deputy for whom authority may be delegated to sign a disciplinary complaint against a physician under the West Virginia Medical Practice Act. See State v. Romulus,
We find support for our holding in decisions by the majority of courts that have addressed the issue of an attorney delegating his/her duty to sign a civil complaint or other court document. The general rule appears to be that an attorney cannot delegate his/ her duty to sign a civil complaint or other court document. See Pavelic & LeFlore v. Marvel Entertainment,
Insofar as an administrative secretary signed the complaint in the instant case, “the status of the complaint on the date it was [issued] was as though it contained no signature[.]” Old Hickory Engineering & Mach. Co., Inc. v. Henry,
C. The Board May Amend its Complaint
Although we affirm the circuit court’s ruling reversing the Board’s decision because of the signature defect, we disagree with the ultimate disposition reached by the circuit court. That is, the circuit court’s order did not remand the case to permit the Board to correct the signature defect for the purpose of initiating a new disciplinary proceeding under a properly signed complaint. We believe it was error to fail to dispose of the case in such a manner.
The United States Supreme Court has noted that a defect in the signature on a complaint may be corrected “ ‘by signing the paper on file or by submitting a duplicate that contains the signature.’” Becker v. Montgomery,
In view of the above authorities, we believe the circuit court should have remanded the case to permit the Board to amend the complaint, and to also have permitted the amended complaint to relate back to the date the original complaint was issued, for the purpose of reprosecuting the case-if the Board so chooses.
IV.
CONCLUSION
We affirm that part of the circuit court’s order which vacated the Board’s decision. However, we reverse the circuit court’s order to the extent it did not allow the Board an opportunity to amend the complaint for the sole purpose of adding the correct signatures. Therefore, this case is remanded to the circuit court with directions to enter an order vacating the Board’s decision. Further, this case is remanded to permit the Board to amend the complaint with proper signatures, so that the Board may reprose-cute the ease in its entirety if it chooses to do so.
Affirmed in part; Reversed in part; and Remanded.
Notes
. The complaint and notice of hearing is one document.
. It is provided in W. Va.Code § 30-3-2, in part, that “[t]he purpose of this article is to provide for the ... professional discipline of physicians and podiatrists and for the ... discipline of physician assistants.”
. Rule 11(a) of the West Virginia Rules of Civil Procedure now governs the issue of signing a complaint. We do not, in this opinion, decide to what extent Monis is still applicable in civil litigation. See Becker v. Montgomery, 532 U.S. 757, 764,
. Assuming, for the sake of argument, that W. Va.Code § 2-2-5 could be construed as permitting an administrative secretary to sign documents for officers, we find that the statute itself would preclude delegation of the authority to sign a disciplinary complaint. W. Va.Code § 2-2-5 permits delegation of authority "unless it be such as cannot lawfully be done by deputation.” Because of the grave significance of a disciplinary complaint against a physician, we note, as a matter of law, the authority to sign a disciplinary complaint against a physician simply cannot be delegated.
. It has been noted that “the signature requirement [for a complaint] is not satisfied by a typewritten name.” Cleckley, Davis & Palmer, Litigation Handbook, § 11(a), at p. 242, (citing, in Supp.2004 Becker v. Montgomery,
. We wish to make clear that the Board’s revocation/probation decision is unenforceable. However, pursuant to this opinion, it may reprosecute the case pursuant to an amended complaint that is properly signed.
. Should the Board decide to reprosecute this case, it may not rely on tire record compiled by the first hearing examiner. A new evidentiary proceeding must take place.
Concurrence Opinion
concurring.
I concur in the result reached by the majority opinion. I write separately to say why I do not concur in the majority opinion itself.
First, I do not think this case requires the creation of new syllabus points. I believe the Clark case, and our general law on jurisdiction, provide sufficient authority to decide the case. This is an example of our Court is unnecessarily making new law — a charge under which this Court too often suffers. In this case, stare decisis would suffice.
Second, I cannot subscribe to the reasoning of new Syllabus Point 3, which states:
Under W. Va.Code § 2-2-5 (2002), an administrative secretary is not an agent or deputy to whom authority may be delegated to sign a disciplinary complaint againsta physician under the West Virginia Medical Practice Act, W. Va.Code § 30-3-1 (2002), et seq.
My question is: how and where does this Court find any basis in law for saying that an administrative secretary cannot be designated as an agent to sign a complaint?
The Legislature clearly allows agents to sign documents. W.Va.Code, 2-2-5 [2002], Is the majority saying that the Legislature has said somewhere that an administrative secretary cannot be designated as an agent to sign a complaint? I cannot find that the Legislature has said this anywhere.
Or is the majority saying that as a matter of common law or constitutional law neither the Board or the Legislature can designate an administrative secretary as an agent to sign a complaint? On what legal basis can the majority premise such a conclusion? Nothing in the majority opinion addresses this issue.
In my view, neither of these two positions is tenable. My view is that the Board can authorize their administrative secretary to sign a complaint as their agent, exactly as the Legislature has authorized in W.Va.Code, 2-2-5 [2002],
However, because Dr. Hoover did not participate in the hearings below because there was an admitted uncertainty as to the complaint’s validity, I agree with the result of the majority opinion — that the case must be tried again.
Accordingly, I concur.
