Wyo. Code R. 075-0001-4
Outfitters and Professional Guides, Board of
Chapter 4: Practice & Procedures
Effective Date: 04/28/1993 to 10/28/1994
Rule Type: Superceded Rules & Regulations
Reference Number: 075.0001.4.04281993
Preface: It is the intent of the Board through these rules and regulations to recognize the difference between an allegation made against a registrant and the need for a formal proceeding. To that end the Board requests the cooperation of all registrants to respond to letters of inquiry dealing with allegations as opposed to responses to formal proceedings. Responses to letters of inquiry are on a volunteer basis whereas responses to formal proceedings are mandatory as per these rules. The Board will attempt to keep private all allegations, as well as all formal proceedings until a Quorum Board rules on said formal proceeding. All allegations and documented information received by the Board will be classified as investigatory information until the matter is finally resolved. Section 1. Allegations. Any allegation made against an outfitter
or guide shall be made on a form provided as shown in Figure 10, which is part of this regulation, or in writing, and should
provide at least the following information: (a) Name, address, place of employment and position of the individual believed to have violated W.S. 23-2-406 through 23-2-417 or Board rules and regulations. (b) The nature of
the allegation and a description of the incident(s) involved including date(s), time(s), location(s) and any observed behavior of the individuals allegedly involved. (c) The name and address of other witnesses, if any.
(d) The signature and address of the person(s) making the allegation. Section 2. Review of Allegation.
(a) If an
allegation is made or if any documented information concerning a possible violation of W.S. 23-2-406 through 23-2-417 or these rules or regulations is received or obtained by the Board, the Board shall make a determination if a further investigation will be conducted, and if there will be a need for formal proceedings.
Upon receiving the above allegation or documented information,
a letter of inquiry will be sent to the outfitter or guide named containing the allegation or documented information requesting a response within twenty days of the mailing date.
Upon receipt of the response, or expiration of the response period, the Board will review the allegation or documented information and make one of the following determinations: (i) The Board may determine the allegation or documented
information does not warrant further action on behalf of the Board, and so advise both the person who made the allegation as well as the outfitter or guide named; (ii) The Board may make a determination if a further investigation is warranted. If the Board determines further investigation is warranted it will proceed in a manner consistent with these rules and regulations; (iii) The Board may make a determination to refer the matter to a formal proceeding if it determines further investigation is not necessary.
(b) If the Board deems further action is warranted on the allegation a committee of one or two Board members, appointed by the Chairman of the Board, shall review the allegation, oversee or participate in the investigation, review the investigative materials, conduct interviews and make recommendations to the
Board concerning its findings: (i) The committee so appointed shall not take part in the consideration of any contested case in which they participated in the investigation of the allegation, although they may attend any disciplinary hearing. (c) Following review and investigation of an allegation, the committee may take any appropriate action, including but not necessarily limited to the following: (i) File an allegation with the Board on its own behalf; (ii) Forward the allegation to the Board for formal disciplinary proceedings.(d) The Board is empowered to resolve any dispute at any time and to that end may: (i) Send a written letter of warning to the outfitter or guide listed in the allegation; (ii) Accept the voluntary surrender of a license; or (iii) Accept terms for a conditional license.Section 3. Investigation. (a) The Chairman may select a member of the Board to work with the Board investigator in handling the complaint. (b) The purpose of the investigation shall be to determine if there is sufficient evidence to warrant a formal proceeding. (c) The committee shall contact the investigator and inform the investigator that an allegation has been made and provide the details of the allegation. The committee shall ask if the investigator has any conflict of interest that would prevent the investigator from fully and impartially investigating the allegation. The investigator may accept the investigation task only if the investigator can do so without a conflict of interest. (d) The Board may reimburse the investigator for all necessary and reasonable expenses incurred by the investigator in the conduct of an investigation. Section 4. Conduct of Investigation. (a) The investigator is empowered to conduct a full and complete investigation of a scope necessary to determine whether or not the charges in the allegation are substantial enough to warrant a formal proceeding. (b) In pursuit of the investigation, the investigator may review documents, interview the complainant and other witnesses. The investigator may interview the licensee only if the licensee voluntarily agrees and if the licensee has been furnished a copy of the allegation. A formal letter of inquiry shall be mailed to the licensee which he shall respond to within twenty days. The licensee may respond on his own behalf or through an attorney. If the licensee chooses not to respond with facts said licensee has an option to simply respond within the twenty days stating the facts in the letter of inquiry are denied and said facts will be deemed contested. There must be a written response within twenty days or the facts in the letter of inquiry will be deemed true. Section 5. Investigator's Report. (a) Upon completing the investigation, the investigator shall make a written report to the committee setting forth the facts discovered. The investigator may make a recommendation to the committee as to whether, in the investigator's opinion, there is sufficient evidence to warrant a formal proceeding. The investigators' opinion is simply advisory and the committee is not bound by the investigator's recommendation. (b) The investigator's report shall be submitted to the committee within forty-five days of appointment of the investigator, unless the time is extended by the committee for good cause. (c) Investigation files of any allegation which is pending are confidential and not public record. Section 6. Informal Compliance Procedures. (a) Upon notification of the findings of an investigation, a licensee may attend an informal compliance conference with the committee. The licensee may appear either with or without counsel. Notice of the compliance conference shall be mailed at least fifteen days prior to the date of the conference. The purpose of the compliance conference will be to discuss informal settlement of the investigative matter. Upon completion of the interview, the committee shall make recommendations to the Board for consent settlement, dismissal of the complaint or formal proceedings. (b) At any time either before or after formal disciplinary proceedings have been instituted against a licensee, the licensee may submit to the Board an offer of settlement whereby, in lieu of formal disciplinary action by the Board, the licensee agrees to accept certain sanctions such as suspension, civil penalties, enrolling in educational courses, limiting the scope of his operation, or other sanctions. If the Board determines that the proposed settlement will adequately protect the public welfare, the Board may accept the offer and enter a decision that is consented to by the licensee and incorporates the proposed settlement. Section 7. Formal Hearing Procedures. Formal proceedings for Board disciplinary action against a licensee shall be commenced by notice issued by the Board. served in person or by certified mail. to the address last known to the Board. Notice of a formal
disciplinary hearing shall be given at least thirty days prior to the date set for the hearing. The notice shall include the following information: (a) Statement of time, place and nature of hearing. (b) Statement of legal authority and jurisdiction under which hearing is to be held. (c) Statement giving reference to particular sections of the statutes and rules involved. (d) A statement, in ordinary and concise language, of the nature of the complaint filed with the Board, and the facts upon which the complaint is based.
(e) That failure to respond to the complaint within twenty days of its receipt may result in default. Section
8. Default. The Board may enter an order based on the
allegations of a complaint in any case where the licensee has not responded within twenty days of the date of notification of the complaint, or in any case in which the licensee or the
licensee's representative has not appeared at a scheduled hearing of which the licensee had notice.
Section 9. Motions. All motions made to the Board shall be made in writing ten days prior to the date set for hearing. (a) The Board may, within its discretion and upon good cause shown, allow a motion to be filed
at any time. (b) For purposes of this rule, any request for settlement of a contested case shall be
considered a motion before the Board. Section 10. Docket. (a) When formal proceedings are
initiated and notice has been afforded, the case shall be assigned a number and entered upon a docket
provided for such purpose. (b) There shall be established a separate file for each
docketed case, in which shall be systematically placed all papers, pleadings, documents, transcripts, evidence
and exhibits pertaining thereto, and all such items shall have noted thereon the docket number assigned and
the date of filing. Section 11. Hearing Officer. The Board may appoint a hearing officer to take evidence
at the hearing. A Board member may be the hearing officer. If the case is heard before the Board, the chairman
may preside. Section 12. Discovery. (a) In all formal proceedings before the Board, discovery shall
be afforded in accordance with the Wyoming Administrative Procedure Act. (b) Requests for discovery
from the Board shall be made in writing and directed to the hearing officer. Section 13. Subpoenas. (a)
The Board or its hearing officers may issue subpoenas
for the attendance of witnesses and for the production of books, records, documents and other evidence, and
shall have the power to administer oaths. (b) Any party desiring the Board or its hearing officers to issue
a subpoena to compel the appearance of a witness at any hearing shall make application, stating the substance
of the testimony expected of
the witness. If such testimony appears to be material and necessary, a subpoena will be supplied. The
affixing of the seal of the Board and the signature of the official custodian of the Board's records shall be
s u f f i c i e n t a t t e s t a t i o n o f t h e s a m e .
(c) Service of a subpoena must be made at the
expense of the party applying for it and shall be made in the manner provided by law for service of
subpoenas in civil actions. Section 14. Witnesses. (a) All persons testifying at any hearing before
the Board shall stand and be administered a standard oath. (b) No testimony will be received from a
witness except under oath or affirmation. (c) The party calling a witness shall bear the costs associated
with the witness' appearance. Section 15. Representation. (a) Any licensee may represent himself
or be represented by counsel, provided that such counsel is licensed to practice law in the State of
Wyoming, or is associated at the hearing with one or more attorneys licensed to practice law in the State of
Wyoming. (b) A request for withdrawal from representation shall be made
by the attorney in writing to the Board. (c) In any case before the Board, an appearance in person or
the filing of an answer shall constitute an appearance of record by an attorney. (d) A representative
of the attorney general's office shall present to the Board all matters enumerated and described in the notice.
(e) The Board shall request the attorney general or the designated representative to be present and
advise the Board in conducting the hearing. Section 16. Order of Procedure. As nearly as may be
practicable hearings will be conducted in accordance with the following order of procedure: (a) The
presiding officer shall announce that the hearing is convened upon the call of the docket number and title of the
matter and case to be heard, and thereupon the presiding officer shall direct the reading into the record of
the notice given, and the complaint, together with appearance in the form of answers or other appearance made by the licensee, and shall note for the record all subpoenas issued and all appearances of record, including licensee and counsel. (b) Opening statement may be made by each of the parties. The
time allowed for oral argument may be limited by the presiding officer. (c) The counsel or representative of the Board shall then present all evidence in support of the complaint. Witnesses may be cross-examined by the licensee or his counsel. All exhibits offered by the Board shall be marked by letters of the alphabet beginning with 'A'. (d) The licensee shall be heard in the same manner. Any
exhibits presented by the licensee shall be marked numerically beginning with '1'. (e) At the conclusion of the evidence, a closing statement may be made by each of the parties. The time allowed for this statement may be limited by the hearing officer. (f) After all proceedings have been concluded, the hearing officer shall dismiss and excuse all witnesses and declare the hearing closed. Any party who may desire to tender written briefs to the Board may do so. The board or hearing officer may require written briefs.
The hearing officer shall take the case under advisement and shall declare that the decision of the Board shall be announced within due and proper time following consideration of all of the matters presented at the hearing. Section 17. Decision and Order. The Board shall, following the hearing, make and enter a written decision and order containing findings of fact and conclusions of law, stated separately. (a) The decision and order shall be sent by certified mail to the licensee and the licensee's attorney of record.
(b) This rule does not preclude the Board from giving preliminary, nonbinding notice to the parties prior to the issuance of the Board's written decision and order. (c) Unless otherwise
ordered by the Board, all decisions of the Board shall be effective as of the date of issuance of the written decision and order. Section 18. Record of Proceedings. (a) When the denial, revocation, or suspension of any license is the subject for hearing, it shall be regarded as a contested
case and the proceedings, including all testimony, shall be reported verbatim by a competent reporter. If the transcript is prepared at the request of a party, the cost of the transcript shall be paid by the party making the request, unless the Board for good cause shown waives assessment of such costs. (b) The Board records in a contested case shall include the following: (i) All pleadings, motions, interlocutory rulings;
(ii) Evidence received or considered; (iii) Statement of matters officially noticed; (iv)
Objections and offers of proof and rulings thereon; (v) Proposed findings and exceptions; (vi)
All staff memoranda, other than privileged communications, of date submitted to the Board. Section 19. Appeals. (a) Appeals from decisions
of the Board are governed by the Wyoming Administrative Procedures Act, in particular, W.S. 16-3-114, and the Wyoming Rules of Appellate Procedure. (b) Costs of transcripts and any reasonable costs assessed by the Board regarding the record on appeal shall be borne by the party making the appeal.
Section 20. Applicability of the Rules of Civil Procedure. The Wyoming Rules of Civil Procedure, insofar as they may be applicable and not inconsistent with the laws of the state and these rules and regulations, shall apply to cases before the Board.