CHAPTER 9
COMPLAINTS AND INVESTIGATIONS
645—9.1(272C) Complaints.
	9.1(1) A complaint shall be made in writing and shall be mailed or delivered to the Board of _______________ Examiners, Professional Licensure Division, Department of Public Health, Lucas State Office Building, Des Moines, Iowa 50319-0075. The complaint shall include the name and address of the complainant, the name of the licensee, and a concise statement of the allegations against the licensee. A complaint may also be initiated upon the board’s own motion pursuant to evidence received by the board. Timely filing of complaints is required in order to ensure the availability of witnesses and to avoid initiation of an investigation under conditions which may have been significantly altered during the period of delay.
	9.1(2) A person shall not be civilly liable as a result of filing a complaint with the board, or for the disclosure to the board or its agents or employees, whether or not pursuant to a subpoena of records, documents, testimony or other forms of information which constitute privileged matter concerning a recipient of health care services or some other person, in connection with the duties of the board. However, such immunity from civil liability shall not apply if such act is done with malice.
645—9.2(272C) Report of malpractice claims or actions or disciplinary actions. Each licensee shall submit a copy of any judgment or settlement in a malpractice claim or any disciplinary action taken by another licensing authority in another state or jurisdiction to the board within 30 days of the date of occurrence.
645—9.3(272C) Report of acts or omissions. Each licensee having first-hand knowledge of acts or omissions of the board’s statute or administrative rules shall report to the board those acts or omissions when committed by another person licensed to practice by the board. The report shall include the name and address of the licensee and the date, time, and place of the incident.
645—9.4(272C) Investigation of complaints or reports. The chairperson of the board may assign an investigation of a complaint or report to a member of the board or may request an investigator from the department of inspections and appeals to investigate the complaint or report. The investigating board member or the investigator may request information from any peer review committee which may be established to assist the board. The investigating board member or investigator may consult an assistant attorney general concerning the investigation or evidence produced from the investigation. A board member who has personally investigated a complaint is disqualified from participating in any contested case proceeding resulting from the investigation.
645—9.5(17A,272C) Issuance of investigatory subpoenas.
	9.5(1) The board administrator or designee may, upon the written request of a board investigator or on the administrator’s own initiative, subpoena books, papers, records, and other real evidence which is necessary for the board to decide whether to institute a contested case proceeding. In the case of a subpoena for mental health records, each of the following conditions shall be satisfied prior to the issuance of the subpoena:
	a. 	The nature of the complaint reasonably justifies the issuance of a subpoena;
	b. 	Adequate safeguards have been established to prevent unauthorized disclosure;
	c. 	An express statutory mandate, articulated public policy, or other recognizable public interest favors access; and
	d. 	An attempt was made to notify the patient and to secure an authorization from the patient for release of the records at issue.
	9.5(2) A written request for a subpoena or the administrator’s written memorandum in support of the issuance of a subpoena shall contain the following:
	a. 	The name and address of the person to whom the subpoena will be directed;
	b. 	A specific description of the books, papers, records or other real evidence requested;
	c. 	An explanation of why the documents sought to be subpoenaed are necessary for the board to determine whether it should institute a contested case proceeding; and
	d. 	In the case of a subpoena request for mental health records, confirmation that the conditions described in 9.5(1) have been satisfied.
	9.5(3) Each subpoena shall contain:
	a. 	The name and address of the person to whom the subpoena is directed;
	b. 	A description of the books, papers, records or other real evidence requested;
	c. 	The date, time and location for production, or inspection and copying;
	d. 	The time within which a motion to quash or modify the subpoena must be filed;
	e. 	The signature, address and telephone number of the board administrator or designee;
	f. 	The date of issuance;
	g. 	A return of service.
	9.5(4) Any person who is aggrieved or adversely affected by compliance with the subpoena and who desires to challenge the subpoena must, within 14 days after service of the subpoena, or before the time specified for compliance if such time is less than 14 days, file with the board a motion to quash or modify the subpoena. The motion shall describe the legal reasons why the subpoena should be quashed or modified, and may be accompanied by legal briefs or factual affidavits.
	9.5(5) Upon receipt of a timely motion to quash or modify a subpoena, the board may request an administrative law judge to issue a decision, or the board may issue a decision. Oral argument may be scheduled at the discretion of the board or the administrative law judge. The administrative law judge or the board may quash or modify the subpoena, deny the motion, or issue an appropriate protective order.
	9.5(6) A person aggrieved by a ruling of an administrative law judge who desires to challenge that ruling must appeal the ruling to the board by serving on the board administrator, either in person or by certified mail, a notice of appeal within ten days after service of the decision of the administrative law judge.
	9.5(7) If the person contesting the subpoena is not the person under investigation, the board’s decision is final for purposes of judicial review. If the person contesting the subpoena is the person under investigation, the board’s decision is not final for purposes of judicial review until either (1) the person is notified the investigation has been concluded with no formal action, or (2) there is a final decision in the contested case.
645—9.6(272C) Peer review committees.
	9.6(1) A complaint may be assigned to a peer review committee for review, investigation, or report to the board.
	9.6(2) The board shall determine which peer review committee will review a case and what complaints or other matters shall be referred to a peer review committee for investigation, review, or report to the board.
	9.6(3) Members of the peer review committees shall not be liable for acts, omissions, or decisions made in connection with service on the peer review committee. However, such immunity from civil liability shall not apply if such act is done with malice.
	9.6(4) The peer review committees shall observe the requirements of confidentiality imposed by Iowa Code section 272C.6.
645—9.7(17A) Appearance. The board may request that a licensee appear before a committee of the board to discuss a pending investigation. By electing to participate in the committee appearance, the licensee waives any objection to a board member both participating in the appearance and later participating as a decision maker in a contested case proceeding. By electing to participate in the committee appearance, the licensee further waives any objection to the board administrator assisting the board in the contested case proceeding.
These rules are intended to implement Iowa Code chapter 17A as amended by 1998 Iowa Acts, chapter 1202, and Iowa Code chapter 272C.
[Filed 5/14/99, Notice 3/24/99—published 6/2/99, effective 7/7/99]