| (a) Each complaint received by the agency undergoes
a preliminary investigation. The preliminary investigation determines
the following:
(1) whether the board has jurisdiction over the complaint;
(2) whether the continued practice by a licensee/registrant
or the continued performance by a licensee/registrant of a procedure
for which the person holds a license or registration would constitute
a clear, imminent, or continuing threat to a person's physical health
or well-being; and
(3) whether there is probable cause to justify commencement
of an official investigation.
(b) Determination of jurisdiction. A complaint is jurisdictional
if it alleges conduct, that if true, would constitute a violation
of the Act or board rules. A complaint is not jurisdictional if the
complaint is received by the agency after the fourth anniversary of
the date the act that is the basis of the complaint occurred; or the
complainant discovered, or in the exercise of reasonable diligence
should have discovered, the occurrence of the act that is the basis
of the complaint. A complaint that is closed in the preliminary investigation
because the board has no jurisdiction over the complaint is a "Dismissed-Non
Jurisdictional" complaint.
(c) If the board has jurisdiction over the complaint,
board staff shall complete the preliminary investigation of the complaint
not later than the 60th day after the date the agency received the
complaint. If the complaint alleges a violation of the standard of
care, board staff conducting the preliminary investigation of the
complaint shall be or shall consult with a licensed dentist or dental
hygienist who is a member of the Dental Practice Division or a member
of the board.
(d) In the preliminary investigation, board staff shall
determine whether the continued practice by a licensee/registrant
or the continued performance by a licensee/registrant of a procedure
for which the person holds a license or registration would constitute
a clear, imminent or continuing threat to a person's physical health
or well-being. If such determination is made, board staff may refer
such complaint to the suspension panel of the board for a temporary
suspension pursuant to §263.004 of Act.
(e) In the preliminary investigation, board staff may
make reasonable efforts to contact the complainant concerning the
complaint. Any additional information received from the complainant
will be added to the information maintained on the complaint.
(f) In the preliminary investigation, the respondent
may be given the opportunity to respond to the allegations. If the
respondent is given this opportunity, the response must be received
within the time prescribed by board staff. Any additional information
received from the respondent will be added to the information maintained
on the complaint.
(g) In the preliminary investigation of each jurisdictional
complaint, the following minimum additional evidence will be gathered
by the Investigations division:
(1) The history of the respondent collected and maintained
by the agency;
(2) The history of the respondent maintained by the
National Practitioner's Data Bank;
(3) Whether the respondent is a participant in the
state Medicaid program and whether the allegations made in the complaint
involve services provided under the state Medicaid program, for reporting
purposes pursuant to §254.012 of the Act; and
(4) medical and dental records, as needed.
(h) At the conclusion of the preliminary investigation
of a jurisdictional complaint, board staff shall determine whether
to commence an official investigation of the complaint. A jurisdictional
complaint that is closed during the preliminary investigation without
proceeding to an official investigation is considered "Jurisdictional-Not
Filed." A complaint that proceeds to an official investigation is
considered a "Jurisdictional-Filed" complaint.
(i) If board staff fails to complete the preliminary
investigation within 60 days of receiving the complaint, the board's
official investigation of the complaint commences on the 60th day,
and the complaint is considered a "Jurisdictional-Filed" complaint.
(j) Appeal. Following the receipt of the notice that
a complaint has been closed during the preliminary investigation as
a "Jurisdictional-Not Filed" complaint, the complainant may appeal
the closure of the complaint to the board.
(1) To be considered by the board, the appeal must:
(A) be submitted in writing to the agency ;
(B) received by the agency no later than the 45th day
after the mailing date of the notice of closure of the Jurisdictional-Not
Filed complaint; and
(C) list the reason(s) for the appeal, providing sufficient
information to indicate that an official investigation is warranted.
(2) Review of an Appeal. Appeals will be considered
by the board in a public meeting. The board shall determine one of
the following:
(A) The appeal is denied;
(B) Additional information must be obtained before
a determination on the appeal can be made; or
(C) The appeal is granted.
(3) Personal Appearances. The complainant has the right
to personally appear before the board considering the appeal. This
appearance must be scheduled through agency staff. This appearance
may be limited in time and scope by the presiding officer of the board.
(4) Notice. The complainant shall be notified of the
board's decision concerning the appeal.
(5) Appeals Limited. Only one appeal shall be allowed
for each complaint.
(6) Granted Appeals. If the board grants an appeal,
the original complaint remains closed, and a new complaint is opened
to officially investigate the complaint. The official investigation
of the new complaint commences on the date the board grants an appeal.
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