Current through Register Vol. 50, No. 9, September 20, 2024
A. A
preliminary review may be initiated to determine if the complaint is
jurisdictional and whether sufficient cause exists to warrant formal
investigation only upon one or more of the following:
1. a complaint, received from a person, other
than an individual employed by the board;
2. a report, received from a law enforcement
agency, federal or state regulatory agency, a reporting authority verified by
the board through electronic or other means, or a professional health or other
monitoring or treatment program, that may implicate a potential violation of
the laws or rules administered by the board; and
3. a motion duly adopted by a vote of
two-thirds of the members, that sufficient cause exists to indicate a violation
of the laws or rules administered by the board may have
occurred.
B. A
preliminary review is initiated upon the receipt, review and assignment of a
case number at the direction of the DOI or the assigned investigator. During a
preliminary review such action may be initiated and taken as deemed necessary
or appropriate and additional information may be obtained to assist in the
determination. As part of the preliminary review:
1. the board may obtain all files and records
related to the complaint and to the complainant, which may be needed to
determine if the complaint is jurisdictional and whether sufficient cause
exists to warrant formal investigation; provided, however, no more than twenty
additional files or records of patients may be obtained in connection with the
review unless authorized by the board. To assist in a review a designee
authorized by the board is authorized to issue, as necessary or upon request of
board staff, subpoenas to obtain medical, hospital and pharmacy records and
records from law enforcement, state and federal agencies. Affidavits may be
obtained to preserve the testimony of a complainant and complaint
witnesses;
2. the complainant may
be contacted; and
3. the licensee
may be provided the opportunity to respond to the complaint or provide related
information; provided, at the time of the first communication from the board to
a licensee regarding a complaint the licensee shall be provided:
a. a brief summary of the complaint or
alleged violation or a copy of the complaint if authorization has been
provided;
b. notice that the
licensee may, at his own expense, retain legal counsel of his choice to
represent his interest; and
c. such
other information as may be deemed appropriate.
C. Any relevant information, documents and
records gathered during the preliminary review will be added to the records or
files of the case.
D. Preliminary
review of a complaint shall be completed as promptly as possible within ninety
days of initiation unless extended by the board for satisfactory cause.
However, this period shall not apply to information received from local, state
or federal agencies or officials relative to on-going criminal, civil or
administrative investigations or proceedings, which do not provide a basis for
preliminary review.
E. Nothing in
this Chapter requires that a preliminary review be conducted if the complaint
is not jurisdictional or information clearly indicates the need for formal
investigation or emergent action.
F. At the conclusion of a preliminary review
a determination shall be made as to whether the complaint is jurisdictional and
there is sufficient cause for investigation. If the complaint:
1. is not jurisdictional or there is
insufficient cause for investigation, a report and recommendation shall be
submitted to the board to close the complaint without investigation. If
approved by the board, the complainant and the licensee, if the licensee was
notified of the preliminary review, shall be notified of the disposition. If
not approved by the board, the board shall direct the boards staff to undertake
such additional review as may be necessary or indicated within a specified
period of time. A complaint closed after preliminary review shall not be
considered an investigation by the board and need not be reported as such by a
licensee on subsequent renewal applications to the board;
2. is jurisdictional and there is sufficient
cause for investigation, a report and recommendation shall be submitted to the
board to commence a formal investigation. The report shall include:
a. a brief summary of the complaint or
alleged violation;
b. a statement
of the possible violations of the law involved; and
c. a summary of the licensees biographical,
licensure and disciplinary history on file with the board.
AUTHORITY NOTE:
Promulgated in accordance with
R.S.
37:1261-1292 and 37:1270(A)(5) and
37:1285.2.
