Iowa Admin. Code r. 655-4.1 - Complaints and investigations
(1)
Form and content of
complaint. The complaint will be submitted on the form deemed
acceptable by the board and contain the following information:
a. The full name, address and telephone
number of the complainant, except in instances in which the identity of the
complainant is unknown.
b. The full
name, address and telephone number, if known, of the licensee.
c. A clear and accurate statement of the
facts of the allegation against the licensee.
(2)
Place and time of filing
complaint. A written complaint may be delivered in person, by mail or
electronically to the board office. The office address is Iowa Board of
Nursing, 6200 Park Avenue, Suite 100, Des Moines, Iowa 50321.
(3)
Processing complaints.
Board staff will open a complaint file upon receiving a complaint or other
appropriate information or upon its own motion.
a. If the board does not have legal
jurisdiction over a matter or the complaint does not allege a violation of
board rule, staff may close the complaint file administratively without
investigation or review by the board. All other complaints will be sent to case
review.
b. A complaint file will be
labeled as such and is not a public record. A complaint file is part of the
licensee's history and may be shared with another licensing authority upon
request.
c. When an investigation
is requested on a file, the complaint file is relabeled as an investigative
file. An investigative file is not public record. The investigative file
becomes a part of the licensee's history and may be shared with another
licensing authority, upon request.
(4)
Case review.
a. Case review is completed by the executive
director, licensing division general counsel, and chief investigator.
b. The case review team will review each
complaint the board has received and take one of the following actions:
(1) Request an investigation.
(2) Contact the complainant to obtain
additional information and return to case review for further
consideration.
(3) Recommend
closure of the complaint file.
(4)
Recommend the complaint file be flagged for further discussion by the
board.
(5) Close the complaint file
administratively.
(5)
Board review.
a. The board will take the recommendations of
the case review and take one of the following actions:
(1) Close the complaint file without
investigation. The board will notify the complainant and the licensee of the
decision by letter.
(2) Close the
investigative file that has been partially or fully investigated, with or
without issuing an informal letter. The board will notify the complainant and
the licensee of the decision by letter.
(3) Request further investigation.
b. The board may reconsider and
reopen a closed complaint or investigative file at a later
date.
(6)
Investigation. The executive director or a board investigator
may conduct an investigation into the allegations of a complaint.
a.
Investigative report.
Upon completion of an investigation, the investigator will prepare a report for
the board's consideration. The report will set forth the information obtained
in the course of the investigation and the response, if any, of the
licensee.
b.
Investigative
subpoenas. The executive director or designee may, upon the written
request of a board investigator or upon the executive director's own
initiative, subpoena books, papers, records, and other real evidence necessary
for a board investigation.
(1) Request for
subpoena. A written request for a subpoena shall contain the following:
1. The name and address of the person to whom
the subpoena will be directed;
2. A
specific description of the books, papers, records or other real evidence
requested;
3. An explanation of why
the evidence sought to be subpoenaed is necessary for the board to determine
whether it should institute a contested case proceeding; and
4. In the case of a subpoena request for
mental health records, confirmation that the conditions described in
subparagraph 4.2(3)"b"(3) have been satisfied.
(2) Contents of subpoena. Each
subpoena shall contain the following:
1. The
name and address of the person to whom the subpoena is directed;
2. A description of the books, papers,
records or other real evidence requested;
3. The date, time and location for production
or inspection and copying;
4. The
time within which a motion to quash or modify the subpoena must be
filed;
5. The signature, address
and telephone number of the executive director or designee;
6. The date of issuance; and
7. A return of service attached to the
subpoena.
(3) Subpoena
for mental health records. A subpoena for mental health records shall meet the
requirements of subparagraph 4.1(6)"b"(2). The board will
document the following prior to the issuance of a subpoena for mental health
records:
1. The nature of the complaint
reasonably justifies the issuance of a subpoena;
2. That adequate safeguards have been
established to prevent unauthorized disclosure;
3. That an express statutory mandate,
articulated public policy, or other recognizable public interest favors access;
and
4. That an attempt was made to
notify the patient and to secure an authorization from the patient for release
of the records at issue.
(4) Motion to quash or modify subpoena.
1. 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.
2. Hearing on motion. Upon receipt of a
timely motion to quash or modify a subpoena, the board may request an
administrative law judge to hold a hearing and issue a decision, or the board
may conduct a hearing and issue a decision. Oral argument may be scheduled at
the discretion of the administrative law judge or the board. The administrative
law judge or the board may quash or modify the subpoena, deny the motion, or
issue an appropriate protective order.
3. Appeal of decision on motion. A person who
is aggrieved by a ruling of an administrative law judge and who desires to
challenge that ruling must appeal the ruling to the board by serving on the
board's executive director, either in person or by certified mail, a notice of
appeal within ten days after service of the decision of the administrative law
judge.
4. Final agency action. 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 the person is
notified that the investigation has been concluded with no formal action or
there is a final decision in the contested case.
Notes
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The board may discipline a licensee pursuant to Iowa Code chapters 147, 152, 272C, and 272D and rules promulgated thereunder.