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<regulation prefix="Regulation" num=".03" citation="COMAR 10.33.07.03" title_num="10" subtitle_num="33" chapter_num="07" heading="Complaints, Investigations, and Disposition of Complaint.">
  <paragraph num="A.">
    <text>Complaint.</text>
    <paragraph num="(1)">
      <text>Any person, government entity, public officer, association, or the Board may submit to the Board a complaint against any licensee, applicant, or individual for due cause.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>The Board shall investigate and take appropriate action as to any complaint filed with the Board that alleges or indicates that:</text>
      <paragraph num="(a)">
        <text>A licensee has failed to meet any standard governing the practice of the licensee’s profession;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>A licensee or an applicant has violated disciplinary grounds of the Board; or</text>
      </paragraph>
      <paragraph num="(c)">
        <text>An unlicensed individual:</text>
        <paragraph num="(i)">
          <text>Is practicing nursing home administration or assisted living management in this State without a license or proper authorization; or</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Has represented to the public that the individual is authorized to practice nursing home administration or assisted living management in this State without a license or proper authorization from the Board.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>The Board may investigate responses in a Board licensure application that may warrant denial of the application.</text>
    </paragraph>
  </paragraph>
  <paragraph num="B.">
    <text>Representation by Counsel.</text>
    <paragraph num="(1)">
      <text>A respondent may be represented by counsel in any matter before the Board and at any stage of the proceedings.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>If the matter goes to a hearing, a respondent may be represented by:</text>
      <paragraph num="(a)">
        <text>The respondent; or</text>
      </paragraph>
      <paragraph num="(b)">
        <text>An attorney who is:</text>
        <paragraph num="(i)">
          <text>Admitted to the Maryland Bar; or</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Specially admitted to practice law pursuant to Maryland Rule 19-217.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>An administrative prosecutor assigned to the Board by the Office of the Attorney General shall prosecute disciplinary matters in Board proceedings.</text>
    </paragraph>
    <paragraph num="(4)">
      <text>The Board may be represented by and obtain the advice of counsel assigned to it by the Office of the Attorney General in all proceedings.</text>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>Confidentiality of Proceedings.</text>
    <paragraph num="(1)">
      <text>Except as otherwise provided by law, the proceedings of the Board are confidential. The parties may not waive the confidentiality provided by this regulation.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>The Office of Administrative Hearings’ proceedings involving the adjudication of a Board-contested case and the administrative law judge's proposed decision are confidential. The parties may not waive the confidentiality of the proceedings or of the residents whose medical records or care are reflected in the record of the proceedings.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Except as otherwise provided by law, even after a final decision is issued by the Board, the parties may not reveal the identity of any residents or patients referenced in the Board proceeding.</text>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>Investigation of Complaint.</text>
    <paragraph num="(1)">
      <text>After receipt of a complaint, the Board staff:</text>
      <paragraph num="(a)">
        <text>Shall send an acknowledgement to the complainant;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Shall present the complaint to the disciplinary committee of the Board; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>May forward the complaint to another regulatory agency that has jurisdiction over the matter.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>The Board's disciplinary committee shall:</text>
      <paragraph num="(a)">
        <text>Review a complaint over which the Board has jurisdiction; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Make a recommendation to the Board on whether to open a formal investigation of a complaint. The disciplinary committee may recommend to the Board closure of the case based on a preliminary investigation of the complaint.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>Prior to or after a decision on whether to open a formal investigation of a complaint, the Board may send a summary or a copy of the complaint, either in its entirety or redacted, to the licensee, applicant, or individual who is the subject of the complaint to obtain a response to the allegations made in the complaint.</text>
    </paragraph>
    <paragraph num="(4)">
      <text>Participation in review of complaints made to the Board is not a basis for recusal of a Board member, Board counsel, or the administrative prosecutor from further proceedings in the case.</text>
    </paragraph>
    <paragraph num="(5)">
      <text>If the Board votes for a formal investigation, an investigator shall be assigned to the investigation.</text>
    </paragraph>
    <paragraph num="(6)">
      <text>As part of its investigation, the Board may issue investigative subpoenas requiring attendance and testimony or the production of records or tangible objects. The subpoena shall be:</text>
      <paragraph num="(a)">
        <text>Signed by:</text>
        <paragraph num="(i)">
          <text>The Board’s Executive Director; or</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>A Board officer;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(b)">
        <text>Served by:</text>
        <paragraph num="(i)">
          <text>U.S. first-class mail;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Certified mail to the address the respondent is required to maintain with the Board;</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Hand delivery in-person or by courier;</text>
        </paragraph>
        <paragraph num="(iv)">
          <text>Delivery service for which a signature is required;</text>
        </paragraph>
        <paragraph num="(v)">
          <text>Electronic means; or</text>
        </paragraph>
        <paragraph num="(vi)">
          <text>A method otherwise agreed to by the person or government entity to whom the subpoena is directed or the person’s counsel.</text>
        </paragraph>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="E.">
    <text>Subpoenas. If service of the subpoena is provided by electronic means, under §D(6)(b)(v) of this regulation, and no response or delivery receipt is obtained from the e-mail address to which service of the subpoena was provided, the Board shall serve the subpoena through other means under §D(6)(b) of this regulation.</text>
  </paragraph>
  <paragraph num="F.">
    <text>Except as otherwise provided by law, Board investigations are confidential.</text>
  </paragraph>
  <paragraph num="G.">
    <text>For each complaint, after a review of the complaint, pertinent investigative material, and the disciplinary committee’s recommendation, the Board shall:</text>
    <paragraph num="(1)">
      <text>Close the case;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Close the case with a nonpublic informal advisory letter to the licensee; or</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Vote to take any of the following actions:</text>
      <paragraph num="(a)">
        <text>Charge the licensee with a violation or violations of Health Occupations Article, §§9-314 or 9-3A-12, Annotated Code of Maryland, or a violation or violations of Regulation .06 of this chapter;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Summarily suspend a license or issue a Notice of Intent to Summarily Suspend;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Issue an intent to deny an application for licensure;</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Issue a cease and desist order; or</text>
      </paragraph>
      <paragraph num="(e)">
        <text>Take any action against a respondent authorized by the subtitle or law that entitles the respondent to a contested case hearing.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="H.">
    <text>Referral to Prosecutor.</text>
    <paragraph num="(1)">
      <text>After a vote for disciplinary action or actions, the matter shall be referred to an administrative prosecutor for prosecutorial action.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>After the administrative prosecutor has drafted the charging document, notice, or order of the disciplinary action or actions, if acceptable, a Board officer or the Board Executive Director shall sign the charging document, notice, or order of the disciplinary action or actions and the licensee, applicant, or individual shall be served.</text>
    </paragraph>
  </paragraph>
</regulation>