Complaint Prioritization and Referral Guidelines for Healing Arts Boards

COMPLAINT PRIORITIZATION and REFERRAL GUIDELINES FOR HEALING ARTS BOARDS*

Guidance To Refer Complaints to the Division of Investigation (DOI)

CATEGORY 1 - URGENT - Immediate referral to DOI Complaints alleging imminent and/or ongoing public safety risk

• Mental or physical impairment of a licensee with potential for public harm • Practicing under the influence of drugs or alcohol • Theft of controlled substances, diversion of controlled substances • Physical or mental abuse of a patient resulting in great bodily injury, death, or both • Acts of serious harm to a minor • Acts of serious patient or consumer harm, gross negligence, incompetence resulting in great bodily injury or death (criminal) • Overprescribing controlled substances (if requiring undercover operation, or assistance needed obtaining original prescription hard copies, or both) • Prescribing/dispensing controlled substances without authority • Unlicensed practice or practicing with a delinquent/revoked license resulting in great bodily injury/death • Aiding and abetting unlicensed practice resulting in great bodily injury/death • Complaints with significant media coverage, or sensitivities, or both • Sexual misconduct with a patient (non-consensual/criminal) • Exam subversion, board exam compromised (recommend consultation with DCA's Office of Professional Examination Services) • Patient abandonment with great bodily injury/death • Obtaining licensure by selling/using fraudulent documents/transcripts • Felony criminal violations not being investigated by another Law Enforcement Agency, including but not limited to: o Prescription forgery o Major financial fraud/financial elder/insurance fraud abuse over $10,000 o Unlawful drug possession

CATEGORY 2 - HIGH - Discuss with DOI prior to assigning to the Board

• Quality of care complaints of serious patient or consumer harm, gross negligence, incompetence resulting in great bodily injury or death (non-criminal) *For questions regarding the above guidelines, please contact DOIIntake@dca.ca.gov. Complaint prioritization is statutory for some clients and supersedes these guidelines. See Business and Professions Code sections 2220.05 (Medical Board/Board of Podiatric Medicine) and 4875.1 (Veterinary Medical Board). Page 1 of 2

CATEGORY 3 - Complaints appropriate to be worked by the Board

• General unprofessional conduct/negligence/incompetence resulting in no harm. minor harm, or both • General quality of care complaints, offensive behavior/conduct/speech (non-criminal) • Prescribing/dispensing without authority - drugs/medication other than controlled substances • Failure of pre-employment drug screening or other substance abuse issues not while practicing (Note: Only if Special Investigators are trained to perform drug testing.) • Unlicensed practice or practicing with a revoked license with no harm or injury, or minimal harm or injury • Aiding and abetting unlicensed practice - non-criminal, no harm or injury, or minimal harm or injury • Mandatory peer review reporting (Business and Professions Code section 805) unless determined to be Category 1 or 2 • Sexual misconduct with a patient - consensual/boundary violations, no touching • Practicing with a delinquent license with no patient harm • Working outside the scope of the license (non-criminal, no patient harm) • Site inspections - solo and joint with board expert, no need for law enforcement standby/security, not a licensed private residence • Exam Subversions - individual cheating, if determined the board's exam was not compromised (recommend consultation with DCA's Office of Professional Examination Services) • Medical Malpractice reporting (Business and Professions Code section 801) unless determined to be Category 1 or 2 • Serving subpoenas for hearings and records (on non-DOI investigations) • Patient abandonment with no harm • False/misleading advertising - no unlicensed/not criminal • Applicant misconduct not related to exam subversion or fraudulent documents • Unsanitary conditions requiring site visit • Moscone-Knox Professional Corporation Act violations (corporate practice of medicine), no patient harm

CATEGORY 4 - Complaints appropriate to be worked by the Board

• Subsequent arrest notifications that do not require a PC23/Interim Suspension Order (ISO) and DOI's assistance • Failure to release medical records, recordkeeping violations • Continuing education violations • Declaration and record collection • Probation violations unless determined to be Category 1 or 2 • Non-jurisdictional issues Other Services Provided by DOI Upon Request • Law enforcement standby/security for board staff/member safety • Assist with PC23/ISO if unable to quickly take action at the board level Issuing and serving subpoenas when needed

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