| (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 board shall investigate complaints against licensees
in the order received unless the allegations contained in a complaint are
deemed to constitute a continuing or imminent threat to the public welfare,
in which case the complaint will be investigated immediately.
(2) Upon receipt of a complaint, a letter of acknowledgment
will be promptly mailed to the complainant.
(3) Complaint files 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 on at least a quarterly basis.
(4) 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 recommendation,
the investigation will proceed.
(5) If the executive director returns the complaint to the
investigator with a notation of non-concurrence under paragraph (4) 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.
(6) 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. The investigator may request additional
medical opinions, supporting documents, and interviews with other witnesses.
(7) 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. If
the executive director determines from the ROI that the probability of a violation
exists, the director of enforcement shall forward a copy of the complaint
file to the board secretary, 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. If the board secretary or executive director determines 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.
(8) If the board secretary concludes that a probable violation(s)
does exist, the executive director shall invite the licensee in writing to
an informal conference to discuss the complaint made against the licensee.
The letter invitation shall be mailed by certified mail, return receipt requested,
and must include a list of the specific allegations of the complaint.
(d) Informal conferences
(1) The informal conference is the last stage in the investigation
process. 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 committee of the executive director, the board secretary, the board's
director of enforcement, the investigator assigned to the complaint, the board's
legal counsel and a public member of the board. 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. The board secretary,
with the advise of other members of the committee, determines the recommended
disposition of the complaint .
(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, read 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 board
secretary shall determine if a violation has occurred. If the board secretary
determines that a violation has not occurred, the board secretary will dismiss
the complaint, and will advise all parties of the decision and the reasons
why the complaint was dismissed.
(5) If the board secretary determines that a violation has
occurred and that disciplinary action is warranted, the board secretary 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. The board secretary must inform the licensee that the licensee
has a right to a hearing before an administrative law judge on the finding
of the occurrence of the violation, the type of disciplinary action, and/or
the amount of the recommended penalty.
(6) Within 20 days after the date the licensee receives the
settlement offer the licensee must submit a written response to the board
(A) accepting the board secretary's settlement offer and recommended
disciplinary action, or
(B) requesting a hearing before an administrative law judge.
(7) If the licensee accepts the settlement offer by signing
the agreed order, the agreed order will be docketed for board action at the
next regularly scheduled board meeting. The board may approve the agreed order
as docketed, approve the agreed order with amendments, or reject the agreed
order. If the board approves the agreed order with amendments, the executive
director shall mail the amended agreed order to the licensee and the licensee
shall have fourteen (14) days from receipt to accept the amended agreed order
by signing and returning it to the board. If a licensee does not sign an amended
agreed order or does not respond within the fourteen (14) days, the complaint
will be scheduled for a hearing before an administrative law judge. If the
board rejects the agreed order, the complaint may be scheduled for a hearing
before an administrative law judge, or the board may direct the executive
director to take other appropriate action.
(e) Administrative law hearing
Cont'd... |
