Subchapter 16U - Investigations

Link to law: http://reports.oah.state.nc.us/ncac/title 21 - occupational licensing boards and commissions/chapter 16 - dental examiners/subchapter u/subchapter u rules.html
Published: 2015

Subscribe to a Global-Regulation Premium Membership Today!

Key Benefits:

Subscribe Now
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.