| (a) Complaints against licensees. (1) All complaints filed by the public against board licensees must be in writing on a complaint form provided by the board and signed by the complainant. If a complaint is transmitted to the board orally or by means other than in writing and the complaint alleges facts showing a continuing or imminent threat to the public welfare, the requirement of a written complaint may be waived until later in the investigative process. (2) Complaints by the board's enforcement section shall be initiated by the opening of a complaint file. (3) The board shall maintain a log of complainants to whom the board sends a complaint form. (4) Anonymous written complaints will not be investigated, but will be logged and filed for information purposes only. (5) The board shall utilize violation code numbers to distinguish between categories of complaints. (b) Complaints against non-licensees. Complaints against persons alleged to be practicing veterinary medicine without a license may be investigated and resolved informally by the executive director. Complaints not resolved by the executive director may be referred by the board to a local prosecutor or the attorney general for legal action. (c) Investigation of complaints. (1) The policy of the board is that the investigation of complaints shall be the primary concern of the board's enforcement program, and shall take precedence over all other elements of the enforcement program, including compliance inspections. (2) The board shall investigate complaints based on the following allegations, in order of priority: (A) acts or omissions, including those related to substance abuse, that may constitute a continuing and imminent threat to the public welfare; (B) acts or omissions of a licensee that resulted in the death of an animal; (C) acts or omissions of a licensee that contributed to or did not correct the illness, injury or suffering of an animal; and (D) all other act and omissions that do not fall within categories (A) - (C) of this paragraph. (3) Upon receipt of a complaint, a letter of acknowledgment will be promptly mailed to the complainant. (4) Complaints will be reviewed every thirty (30) days to determine the status of the complaint. Parties to a complaint will be informed on the status of a complaint at least on a quarterly basis. (5) Upon receipt of a complaint, a board investigator shall review it and may interview the complainant to develop additional information. If the investigator concludes that the complaint resulted from a misunderstanding, is outside the jurisdiction of the board, or is without merit, the investigator shall recommend through the director of enforcement to the executive director that the investigation be closed. If the executive director concurs with the recommendation, the complainant will be so notified, the investigation will be closed, and the complaint file will be maintained in a secure file in the board office. If the executive director does not concur with the recommendations, the investigation will proceed. (6) If the executive director returns the complaint to the investigator with a notation of non-concurrence under paragraph (5) of this subsection, or if the executive director concurs with the investigator's determination that a potential violation exists, the licensee is furnished with a copy of the complaint, unless the executive director determines that an undercover investigation is required. If no undercover investigation is required, the investigator shall contact the licensee in writing, and request any patient records or other pertinent documents deemed necessary for the investigation. The investigator may schedule an interview with the licensee. The investigator may request a written narrative statement from the licensee. (7) After the licensee's response to the complaint is received, further investigation may be necessary to corroborate the information provided by the complainant and the licensee. During the investigation, the investigator shall interview the complainant. The investigator may request additional medical opinions, supporting documents, and interviews with other witnesses. (8) Upon the completion of an investigation, the director of enforcement shall present to the executive director a report of investigation (ROI) and a conclusion as to the probability that a violation(s) exists. (A) If the executive director determines from the ROI that the probability of a violation involving medical judgment or practice exists, the director of enforcement shall forward a copy of the complaint file to the board secretary and another board member (the "veterinarian members") who will determine whether or not the complaint should be closed, further investigation is warranted, or if the licensee should be invited to respond to the complaint at an informal conference at the board offices. (B) If the probable violation does not involve medical judgment or practice (example: administrative matters such as continuing education and federal and state controlled substances certificates), the executive director shall forward the complaint file to a committee of the executive director, director of enforcement, the investigator assigned to the complaint, and general counsel (the "staff committee"), which shall determine whether or not the complaint should be dismissed, investigated further, or settled. (C) If the veterinarian members determine that a violation has not occurred, the executive director or director of enforcement shall notify the complainant and licensee in writing of the conclusion and that the complaint is dismissed. (D) If the veterinarian members conclude that a probable violation(s) exists, the executive director shall invite the licensee in writing to an informal conference to discuss the complaint made against the licensee. If the veterinarian members cannot agree to dismiss or refer the complaint to an informal conference, the complaint will be automatically referred to an informal conference. The letter invitation to the licensee must include a list of the specific allegations of the complaint. (E) A complaint considered by the staff committee shall be referred to an informal conference if: (i) the staff committee determines that the complaint should not be dismissed or settled; (ii) the staff committee is unable to reach an agreed settlement; or (iii) the licensee who is the subject of the complaint requests that the complaint be referred to an informal conference. (d) Informal conferences (1) The informal conference is the last stage in the investigation of a complaint. The licensee has the right to waive his or her attendance at the conference. The licensee may be represented by counsel. (2) The board may be represented at the informal conference by a conference committee of the executive director, the veterinarian members and a public member of the board (if the complaint involves medical judgment or practice), the director of enforcement, the investigator assigned to the complaint, and the board's general counsel. The complainant and the licensee and the licensee's legal counsel may attend the conference. Any other attendees are allowed at the discretion of the executive director. The executive director or the director of enforcement shall conduct the conference. (3) Subject to the discretion of the executive director, the following procedure will be followed at the informal conference. The executive director shall explain the purpose of the conference and the rights of the participants, lead the discussion of the allegations of the complaint, and explain the possible courses of action at the conclusion of the conference. The licensee will be asked to respond to the allegations. The complainant will be allowed to make comments relevant to the allegations. Comments of the licensee and complainant must be addressed to the person conducting the conference and not to each other. In the interest of maintaining decorum, the licensee or complainant may be asked to leave the room while the other is talking with the committee. The committee may ask questions of the licensee and complainant in order to fully develop the complaint record. (4) At the conclusion of the informal conference, the conference committee shall determine if a violation has occurred. If the conference committee determines that a violation has not occurred, the conference committee will dismiss the complaint, and will advise all parties of the decision and the reasons why the complaint was dismissed. (5) If the conference committee determines that a violation has occurred and that disciplinary action is warranted, the executive director will advise the licensee of the alleged violations and offer the licensee a settlement in the form of an agreed order that specifies the disciplinary action and monetary penalty. With the agreement of the licensee, the conference committee may recommend that the licensee refund an amount not to exceed the amount the complainant paid to the licensee instead of or in addition to imposing an administrative penalty on the licensee. The Cont'd... |
