subchapter 16u - INVESTIGATIONS
SECTION .0100 - PROCEDURES
21 NCAC 16U .0101 SECRETARY-TREASURER
The Board's Secretary-Treasurer or another Board member
appointed by the Secretary-Treasurer shall supervise and direct investigations
of acts or practices that might violate the provisions of the Dental Practice
Act, the Dental Hygiene Act or the Board's Rules. The Secretary-Treasurer or
other Board member appointed by the Secretary-Treasurer in consultation with
the Investigative Panel, shall determine whether cases involving licensees,
interns or applicants for licenses or permits shall be set for hearing or
settlement conference and recommend to the Board dispositions of cases that are
not set for hearing or settlement conference.
History Note: Authority G.S. 90-28; 90-41; 90-41.1;
90-48; 90-223; 90-231;
Eff. October 1, 1996.
Amended Eff. July 1, 2015.
21 NCAC 16U .0102 INVESTIGATIVE
PANEL
The Secretary-Treasurer or another Board member appointed by
the Secretary-Treasurer shall chair the Investigative Panel. The Board's
Counsel, Director of Investigations, Investigators and other staff members appointed
by the Secretary-Treasurer shall serve on the Panel. The Investigative Panel
shall conduct investigations and prepare and present the Board's case in all
reinstatement cases, and disciplinary proceedings and in civil actions to
enjoin the unlawful practice of dentistry.
History Note: Authority G.S. 90-28; 90-41; 90-41.1;
90-48; 90-223; 90-231; 150B-40;
Eff. October 1, 1996.
Amended Eff. July 1, 2015.
21 NCAC 16U .0103 REPORTS FROM THE CONTROLLED SUBSTANCES
REPORTING SYSTEM
The Department of Health and Human Services (DHHS) may
submit a report to the North Carolina State Board of Dental Examiners if it
receives information that DHHS believes provides a basis to investigate whether
a dentist has issued prescriptions for controlled substances in a manner that
may violate laws governing the prescribing of controlled substances or the practice
of dentistry.
History Note: Authority G.S. 90-41; 90-113.74;
Eff. July 1, 2015.
SECTION .0200 - COMPLAINTS
21 NCAC 16U .0201 PROCESSING
Licensees shall be notified of patient complaints against
them and given an opportunity to respond except:
(1) In cases requiring emergency action for the
protection of the public health, safety or welfare; or
(2) In cases where notification may jeopardize the
preservation or procurement of relevant evidence.
History Note: Authority G.S. 90-28; 90-41; 90-41.1;
90-48; 90-223; 90-231; 150B-41;
Eff. October 1, 1996.
21 NCAC 16U .0202 DISPOSITION
The Secretary-Treasurer or other Board member chairing the
Investigative Panel shall direct one or more of the following dispositions of
each complaint or other investigation:
(1) Submission to the Board with a recommendation to
dismiss with no action;
(2) Submission to the Board with a recommendation to
resolve by consent;
(3) Scheduling for pre-hearing conference with the
Investigative Panel;
(4) Scheduling for settlement conference with the
Board; or
(5) Scheduling, with appropriate notice, for contested
case hearing.
History Note: Authority G.S. 90-28; 90-41; 90-41.1;
90-48; 90-223; 90-229; 90-231; 150B-38; 150B-41;
Eff. October 1, 1996.
21 NCAC 16U .0203 PRE-HEARING CONFERENCES
(a) A pre-hearing conference shall not be conducted unless
the Respondent agrees to participate.
(b) A pre-hearing conference shall be conducted before the
Investigative Panel. At the pre-hearing conference, a Board investigator shall
summarize the circumstances of the investigation. The Respondent shall have an
opportunity to respond and to submit documentation. The pre-hearing conference
shall not be recorded nor open to the public.
(c) Following the pre-hearing conference, the Respondent
shall be advised in writing of the proposal for disposition of the matter by
the Board member presiding over the pre-hearing conference. If the Board
member presiding over the pre-hearing conference deems sanctions are appropriate,
a Consent Order or letter of reprimand shall be proposed. Should the
Respondent accept the terms, the proposed Consent Order or letter of reprimand
must be approved by the full Board. Should the Respondent reject the terms of a
proposed Consent Order or letter of reprimand, the Board member presiding over
the pre-hearing conference shall direct disposition of the matter under Rule
.0202 of this Subchapter.
History Note: Authority G.S. 90-28; 90-41; 90-41.1;
90-48; 90-223; 90-229; 90-231; 150B-41;
Eff. October 1, 1996.
21 NCAC 16U .0204 SETTLEMENT CONFERENCES
(a) A settlement conference shall not be conducted unless
the Respondent agrees to participate and to waive any objection to the Board
being exposed to a forecast of the evidence.
(b) A settlement conference shall be conducted before the
Board or a panel of the Board appointed by the President. At the settlement
conference, a Board investigator shall summarize the circumstances of the
investigation and present a forecast of the Board's evidence. The Respondent
shall have an opportunity to forecast his or her evidence. Forecasts of the
evidence may be presented orally or in writing and exhibits may be presented.
Witnesses may forecast their own testimony but shall not be sworn nor
cross-examined. The settlement conference shall not be recorded nor open to
the public. The allowed time for initial presentations shall be agreed upon by
counsel ten days prior to the conference, subject to approval by the presiding
Board member.
(c) If the Board deems sanctions are appropriate, a Consent
Order or letter of reprimand shall be proposed. Should the Respondent reject
the terms of the Consent Order or letter of reprimand, a contested case hearing
may be scheduled.
History Note: Authority G.S. 90-28; 90-41; 90-41.1;
90-48; 90-223; 90-229; 90-231; 150B-41;
Eff. October 1, 1996.
