Tenn. Comp. R. & Regs. 0260-02-.15 - DISCIPLINARY ACTIONS, CIVIL PENALTIES, SCREENING PANELS, SUBPOENAS, AND ASSESSMENT OF COSTS
(1) Upon a finding
by the Board that a chiropractic physician has violated any provision of the
T.C.A. §§
63-4-101, et seq., or the rules promulgated thereto, the
Board may impose any of the following actions separately or in any combination
deemed appropriate to the offense.
(a) Letter
of Warning and/or Letter of Concern - This is a written action issued by the
Board's consultant to the chiropractic physician for minor or near infractions.
It is informal and advisory in nature and does not constitute a formal
disciplinary action. However, if the Board takes this action at a contested
case hearing through the issuance of a final order, it shall be considered an
adverse act by the Board and reportable to the National Practitioner Databank
and/or similar agency.
(b) Formal
Censure or Reprimand - This is a written action issued to a chiropractic
physician for one time and less severe violation(s). It is a formal
disciplinary action.
(c) Probation
- This is a formal disciplinary action which places a chiropractic physician on
close scrutiny for a fixed period of time. This action may be combined with
conditions which must be met before probation will be lifted and/or which
restrict the individual's activities during the probationary period.
(d) Licensure Suspension - This is a formal
disciplinary action which suspends an individual's right to practice for a
fixed period of time. It contemplates the reentry of the individual into the
practice under the licensure previously issued.
(e) Licensure Revocation - This is the most
severe form of disciplinary action which removes an individual from the
practice of the profession and terminates the licensure previously issued. If
revoked, it relegates the violator to the status he possessed prior to
application for licensure. However, the Board may in its discretion allow the
reinstatement of a revoked certificate or license upon conditions and after a
period of time which it deems appropriate. No petition for reinstatement and no
new application for licensure from a person whose license was revoked shall be
considered prior to the expiration of at least one year unless otherwise stated
in the Board's revocation order.
(f) Conditions - Any action deemed
appropriate by the Board to be required of a disciplined licensee in any of the
following circumstances:
1. During any period
of probation, suspension; or
2.
During any period of revocation after which the licensee may petition for an
order of compliance to reinstate the revoked license; or
3. As a prerequisite to the lifting of
probation or suspension or as a prerequisite to the reinstatement of a revoked
license; or
4. As a stand-alone
requirement(s) in any disciplinary order.
(g) Civil Penalty - A monetary disciplinary
action assessed by the Board pursuant to paragraph (4) of this rule.
(h) Once ordered, probation, suspension,
revocation, assessment of a civil penalty, or any other condition of any type
of disciplinary action may not be lifted unless and until the licensee
petitions, pursuant to paragraph (2) of this rule, and appears before the Board
after the period of initial probation, suspension, revocation, or other
conditioning has run and all conditions placed on the probation, suspension,
revocation, have been met, and after any civil penalties assessed have been
paid.
(2) Order of
Compliance - This procedure is a necessary adjunct to previously issued
disciplinary orders and is available only when a petitioner has completely
complied with the provisions of a previously issued disciplinary order,
including an unlicensed practice civil penalty order, and wishes or is required
to obtain an order reflecting that compliance.
(a) The Board will entertain petitions for an
Order of Compliance as a supplement to a previously issued order upon strict
compliance with the procedures set forth in subparagraph (b) in only the
following three (3) circumstances:
1. When the
petitioner can prove compliance with all the terms of the previously issued
order and is seeking to have an order issued reflecting that compliance;
or
2. When the petitioner can prove
compliance with all the terms of the previously issued order and is seeking to
have an order issued lifting a previously ordered suspension or probation;
or
3. When the petitioner can prove
compliance with all the terms of the previously issued order and is seeking to
have an order issued reinstating a license previously revoked.
(b) Procedures
1. The petitioner shall submit a Petition for
Order of Compliance, as contained in subparagraph (c), to the Board's
administrative office that shall contain all of the following:
(i) A copy of the previously issued order;
and
(ii) A statement of which
provision of subparagraph (a) the petitioner is relying upon as a basis for the
requested order; and
(iii) A copy
of all documents that prove compliance with all the terms or conditions of the
previously issued order. If proof of compliance requires testimony of an
individual(s), including that of the petitioner, the petitioner must submit
signed statements from every individual the petitioner intends to rely upon
attesting, under oath, to the compliance. The Board's consultant and
administrative staff, in their discretion, may require such signed statements
to be notarized. No documentation or testimony other than that submitted will
be considered in making an initial determination on, or a final order in
response to, the petition.
2. The Board authorizes its consultant and
administrative staff to make an initial determination on the petition and take
one of the following actions:
(i) Certify
compliance and have the matter scheduled for presentation to the Board as an
uncontested matter; or
(ii) Deny
the petition, after consultation with legal staff, if compliance with all of
the provisions of the previous order is not proven and notify the petitioner of
what provisions remain to be fulfilled and/or what proof of compliance was
either not sufficient or not submitted.
3. If the petition is presented to the Board
the petitioner may not submit any additional documentation or testimony other
than that contained in the petition as originally submitted.
4. If the Board finds that the petitioner has
complied with all the terms of the previous order an Order of Compliance shall
be issued.
5. If the petition is
denied either initially by staff or after presentation to the Board and the
petitioner believes compliance with the order has been sufficiently proven the
petitioner may, as authorized by law, file a petition for a declaratory order
pursuant to the provisions of T.C.A. §§
4-5-223 and Rule
1200-10-01-.11.
(c) Form
Petition
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(3) Order Modifications - This procedure is
not intended to allow anyone under a previously issued disciplinary order,
including an unlicensed practice civil penalty order, to modify any findings of
fact, conclusions of law, or the reasons for the decision contained in the
order. It is also not intended to allow a petition for a lesser disciplinary
action, or civil penalty other than the one(s) previously ordered. All such
provisions of Board orders were subject to reconsideration and appeal under the
provisions of the Uniform Administrative Procedures Act (T.C.A. §§
4-5-301, et seq.). This procedure is not available as a substitute for
reconsideration and/or appeal and is only available after all reconsideration
and appeal rights have been either exhausted or not timely pursued. It is also
not available for those who have accepted and been issued a reprimand.
(a) The Board will entertain petitions for
modification of the disciplinary portion of previously issued orders upon
strict compliance with the procedures set forth in subparagraph (b) only when
the petitioner can prove that compliance with any one or more of the conditions
or terms of the discipline previously ordered is impossible. For purposes of
this rule the term "impossible" does not mean that compliance is inconvenient
or impractical for personal, financial, scheduling or other reasons.
(b) Procedures
1. The petitioner shall submit a written and
signed Petition for Order Modification on the form contained in subparagraph
(c) to the Board's administrative office that shall contain all of the
following:
(i) A copy of the previously issued
order; and
(ii) A statement of why
the petitioner believes it is impossible to comply with the order as issued;
and
(iii) A copy of all documents
that proves that compliance is impossible. If proof of impossibility of
compliance requires testimony of an individual(s), including that of the
petitioner, the petitioner must submit signed and notarized statements from
every individual the petitioner intends to rely upon attesting, under oath, to
the reasons why compliance is impossible. No documentation or testimony other
than that submitted will be considered in making an initial determination on,
or a final order in response to, the petition.
2. The Board authorizes its consultant and
administrative staff to make an initial determination on the petition and take
one of the following actions:
(i) Certify
impossibility of compliance and forward the petition to the Office of General
Counsel for presentation to the Board as an uncontested matter; or
(ii) Deny the petition, after consultation
with legal staff, if impossibility of compliance with the provisions of the
previous order is not proven and notify the petitioner of what proof of
impossibility of compliance was either not sufficient or not
submitted.
3. If the
petition is presented to the Board the petitioner may not submit any additional
documentation or testimony other than that contained in the petition as
originally submitted.
4. If the
petition is granted a new order shall be issued reflecting the modifications
authorized by the Board that it deemed appropriate and necessary in relation to
the violations found in the previous order.
5. If the petition is denied either initially
by staff or after presentation to the Board and the petitioner believes
impossibility of compliance with the order has been sufficiently proven the
petitioner may, as authorized by law, file a petition for a declaratory order
pursuant to the provisions of T.C.A. §§
4-5-223 and Rule
1200-10-01-.11.
(c) Form
Petition
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(4) Civil Penalties
(a) Purpose - The purpose of this rule is to
set out a schedule designating the minimum and maximum civil penalties which
may be assessed pursuant to Public Chapter 389, Acts of 1989.
(b) Schedule of Civil Penalties
1. A Type A civil penalty may be imposed
whenever the Board finds the person who is required to be licensed or certified
by the Board is guilty of a willful and knowing violation of the Chiropractic
Examiners Practice Act, or regulations promulgated pursuant thereto, to such an
extent that there is, or is likely to be an imminent substantial threat to the
health, safety and welfare of an individual client or the public. For purposes
of this section, a Type A civil penalty shall include, but not be limited to, a
person who willfully and knowingly is or was practicing as a chiropractic
physician without a license from the Board.
2. A Type B civil penalty may be imposed
whenever the Board finds the person required to be licensed or certified by the
Board is guilty of a violation of the Chiropractic Examiners Practice Act or
regulations promulgated pursuant thereto in such manner as to impact directly
on the care of clients or the public.
3. A Type C civil penalty may be imposed
whenever the Board finds the person required to be licensed or certified by the
Board is guilty of a violation of the Chiropractic Examiners Practice Act or
regulations promulgated pursuant thereto, which are neither directly
detrimental to the clients or public, nor directly impact their care, but have
only an indirect relationship to client care or the public.
(c) Amount of Civil Penalties
1. Type A civil penalties shall be assessed
in the amount of not less than $500 and not more than $ 1000.
2. Type B civil penalties may be assessed in
the amount of not less than $100 and not more than $500.
3. Type C civil penalties may be assessed in
the amount of not less than $50 and not more than $100.
(d) Procedures for Assessing Civil Penalties
1. The Division of Health Related Boards may
initiate a civil penalty assessment by filing a Memorandum of Assessment of
Civil Penalty. The Division shall state in the memorandum the facts and law
upon which it relies in alleging a violation, the proposed amount of the civil
penalty and the basis for such penalty. The Division may incorporate the
Memorandum of Assessment of Civil Penalty with a Notice of Charges which may be
issued attendant thereto.
2. Civil
Penalties may also be initiated and assessed by the Board during consideration
of any Notice of Charges. In addition, the Board may, upon good cause shown,
assess type and amount of civil penalty which was not recommended by the
Division.
3. In assessing the civil
penalties pursuant to these rules the Board may consider the following factors:
(i) Whether the amount imposed will be a
substantial economic deterrent to the violator;
(ii) The circumstances leading to the
violation;
(iii) The severity of
the violation and the risk of harm to the public;
(iv) The economic benefits gained by the
violator as a result of non-compliance; and
(v) The interest of the public.
4. All proceedings for the
assessment of civil penalties shall be governed by the contested case
provisions of T.C.A. Title 4, Chapter 5.
(5) Screening Panels - Any screening panel(s)
established pursuant to T.C.A. §§ 63-4103:
(a) Shall have concurrent authority with the
Board members and any individual chiropractic physician designated by the Board
pursuant to Rule 0260-02-.19(7), to do the acts enumerated therein and subject
to the conditions contained therein.
1. A
Screening panel(s) comprised of three (3) or more persons shall elect a
chairperson prior to convening to conduct business. The screening panel(s)
shall include at least one (1) but no more than three (3) licensed chiropractic
physicians who may be members of the Board or may serve voluntarily or through
employment by or under contract with the Board.
2. A Screening panel(s) comprised of two (2)
or more persons is required to conduct the informal hearings authorized in
subparagraph (b) immediately below.
(b) After review of a complaint by the
Board's consultant, or after completion of an investigation by the Division, a
screening panel may upon request of either the state, or the licensee who is
the subject of an investigation, or upon agreement of both the licensee and the
state, conduct a non-binding informal hearing and make recommendations as a
result thereof as to what, if any, terms of settlement of any potential
disciplinary action are appropriate.
1.
Neither the Rules of Civil Procedure, the Rules of Evidence or Contested Case
Procedural Rules under the Administrative Procedures Act shall apply in
informal hearings before the screening panels(s).
(i) Evidence may be presented or received in
any manner and in whatever order agreed upon by the parties.
(ii) Prior to convening the panel and in the
absence of an agreement of the parties, the screening panel chairperson shall
determine the manner and order of presentation of evidence.
2. Informal hearings may be
conducted without the participation of the licensee who is the subject of the
investigation.
3. A licensee who is
the subject of an investigation being considered by a screening panel cannot be
compelled to participate in any informal hearing.
4. It is not required that prior or
subsequent notice of any informal hearing be given to any licensee who is the
subject of an investigation being considered by a screening panel.
5. Proposed settlements reached as a result
of any informal hearing will not become binding and final unless they are:
(i) Approved by a majority of the members of
the screening panel which issued them; and
(ii) Agreed to by both the Department of
Health, by and through its attorney(s), and the licensee; and
(iii) Subsequently presented to and ratified
by the Board or a duly constituted panel of the Board.
(6) Subpoenas
(a) Purpose - Although this rule applies to
persons and entities other than chiropractic physicians, it is the Board's
intent as to chiropractic physicians that they be free to comprehensively treat
and document treatment of their patients without fear that the treatment or its
documentation will be unduly subjected to scrutiny outside the profession.
Consequently, balancing that intent against the interest of the public and
patients to be protected against substandard care and activities requires that
persons seeking to subpoena such information and/or materials must comply with
the substance and procedures of these rules. It is the intent of the Board that
the subpoena power outlined herein shall be strictly limited. Such power shall
not be used by the Division or Board investigators to seek other incriminating
evidence against chiropractic physicians when the Division or Board does not
have a complaint or basis to pursue such an investigation. Thus, unless the
Division or its investigators have previously considered, discovered, or
otherwise received a complaint from either the public or a governmental entity,
then no subpoena as contemplated herein shall issue.
(b) Definitions - As used in this chapter of
rules the following words shall have the meanings ascribed to them:
1. Probable Cause
(i) For Investigative Subpoenas - shall mean
that probable cause, as defined by case law at the time of request for subpoena
issuance is made, that a violation of the Chiropractic Practice Act or rules
promulgated pursuant thereto has occurred or is occurring and that it is more
probable than not that the person(s), or items to be subpoenaed possess or
contain evidence which is more probable than not relevant to the conduct
constituting the violation.
(ii)
The utilization of the probable cause evidentiary burden in proceedings
pursuant to this rule shall not in any way, nor should it be construed in any
way to establish a more restrictive burden of proof than the existing
preponderance of the evidence in any civil disciplinary action which may
involve the person(s) or items that are the subject of the subpoena.
2. Presiding Officer - For
investigative subpoenas shall mean any elected officer of the Board, or any
duly appointed or elected chairperson of any panel of the Board, or any
screening panel, and any hearing officer, arbitrator or mediator.
(c) Procedures
1. Investigative Subpoenas
(i) Investigative subpoenas are available
only for issuance to the authorized representatives of the Tennessee Department
of Health, its investigators, and its legal staff.
(ii) An applicant for such a subpoena must
either orally or in writing notify the Board Unit Director of the intention to
seek issuance of a subpoena. That notification must include the following:
(I) The time frame in which issuance is
required so the matter can be timely scheduled; and
(II) A particular description of the material
or documents sought, which must relate directly to an ongoing investigation or
contested case, and shall, in the instance of documentary materials, be limited
to the records of the patient or patients whose complaint, complaints, or
records are being considered by the Division or Board.
I. In no event shall such subpoena be broadly
drafted to provide investigative access to chiropractic records of other
patients who are not referenced either in the notice of charges or a complaint
received from an individual or governmental entity, or who have not otherwise
sought relief, review, or Board consideration of a chiropractic physician's
conduct, act, or omission; and
(III) Whether the proceedings for the
issuance is to be conducted by physical appearance or electronic means;
and
(IV) The name and address of
the person for whom the subpoena is being sought, or who has possession of the
items being subpoenaed.
(iii) The Board's Unit Director or his
designee shall do the following:
(I) In as
timely a manner as possible arrange for either an elected officer of the Board,
or any screening panel, or any hearing officer, arbitrator or mediator to
preside and determine if the subpoena should be issued; and
(II) Establish a date, time and place for the
proceedings to be conducted and notify the presiding officer, the applicant and
the court reporter; and
(III)
Maintain a complete record of the proceedings in such a manner as to:
I. Preserve a verbatim record of the
proceeding; and
lI. Prevent the
person presiding over the proceedings and/or signing the subpoena from being
allowed to participate in any manner in any disciplinary action of any kind
formal or informal which may result which involves either the person or the
documents or records for which the subpoena was issued.
(iv) The Proceedings
(I) The applicant shall do the following:
I. Provide for the attendance of all persons
whose testimony is to be relied upon to establish probable cause; and
lI. Produce and make part of the record
copies of all documents to be utilized to establish probable cause;
and
llI. Obtain, complete and
provide to the presiding officer a subpoena which specifies the following:
A. The name and address of the person for
whom the subpoena is being sought or who has possession of the items being
subpoenaed; and
B. The location of
the materials, documents or reports for which production pursuant to the
subpoena is sought if that location is known; and
C. A brief, general description of any items to be
produced pursuant to the subpoena; and
D. The date, time and place for compliance
with the subpoena.
IV.
Provide the presiding officer testimony and/or documentary evidence which in
good faith the applicant believes is sufficient to establish that probable
cause exists for issuance of the subpoena as well as sufficient proof that all
other reasonably available alternative means of securing the materials,
documents or items have been unsuccessful.
(v) The Presiding Officer shall do the
following:
(I) Be selected only after assuring
the Board Unit Director that he or she has no prior knowledge of or any direct
or indirect interest in or relationship with the person(s) being subpoenaed
and/or the licensee who is the subject of the investigation; and
(II) Commence the proceedings and swear all
necessary witnesses; and
(III) Hear
and maintain the confidentiality, if any, of the evidence presented at the
proceedings; and
(IV) Control the
manner and extent of inquiry during the proceedings and be allowed to question
any witness who testifies; and
(V)
Determine based solely on the evidence presented in the proceedings whether
probable cause exists and if so, issue the subpoena for the person(s) or items
specifically found to be relevant to the inquiry; and
(VI) Sign the subpoena as ordered to be
issued; and
(VII) Not participate
in any way in any other proceeding whether formal or informal which involves
the matters, items or person(s) which are the subject of the subpoena. This
does not preclude the presiding officer from presiding at further proceedings
for issuance of subpoenas in the matter.
2. Post-Notice of Charges Subpoenas - If the
subpoena is sought for a contested case hearing pursuant to Title 4, Chapter 5
of the Tennessee Code Annotated, this definition shall not apply. All such
post-notice of charges subpoenas should be obtained from the office of the
Administrative Procedures Division of the Office of the Secretary of State
pursuant to the Uniform Administrative Procedures Act and rules promulgated
pursuant thereto.
(d)
Subpoena Forms
1. All subpoenas shall be
issued on forms approved by the Board.
2. The subpoena forms may be obtained by
contacting the Board's administrative office.
(e) Subpoena Service - Any method of service
of subpoenas authorized by the Tennessee Rules of Civil Procedure or the Rules
of procedure for contested cases of the Tennessee Department of State,
Administrative Procedures Division may be utilized to serve subpoenas pursuant
to this rule.
(7)
Assessment of costs in disciplinary proceedings shall be as set forth in T.C.A.
§§
63-1-144 and 63-4-115.
Notes
Authority: T.C.A. §§ 63-1-134, 63-1-144, 63-4-106, 63-4-114, 63-4-119, 63-4-120, 63-4-121, 63-4-122, and 63-4-123.
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
(1) Upon a finding by the board that a chiropractic physician has violated any provision of the T.C.A. §§ 63-4-101, et seq., or the rules promulgated thereto, the board may impose any of the following actions separately or in any combination deemed appropriate to the offense.
(a) Advisory Censure - This is a written action issued to the chiropractic physician for minor or near infractions. It is informal and advisory in nature and does not constitute a formal disciplinary action.
(b) Formal censure or reprimand - This is a written action issued to a chiropractic physician for one time and less severe violation(s). It is a formal disciplinary action.
(c) Probation - This is a formal disciplinary action which places a chiropractic physician on close scrutiny for a fixed period of time. This action may be combined with conditions which must be met before probation will be lifted and/or which restrict the individual's activities during the probationary period.
(d) Licensure Suspension - This is a formal disciplinary action which suspends an individual's right to practice for a fixed period of time. It contemplates the reentry of the individual into the practice under the licensure previously issued.
(e) Licensure Revocation - This is the most severe form of disciplinary action which removes an individual from the practice of the profession and terminates the licensure previously issued. If revoked, it relegates the violator to the status he possessed prior to application for licensure. However, the board may in its discretion allow the reinstatement of a revoked certificate or license upon conditions and after a period of time which it deems appropriate.
No petition for reinstatement and no new application for licensure from a person whose license was revoked shall be considered prior to the expiration of at least one year unless otherwise stated in the board's revocation order.
(f) Conditions - Any action deemed appropriate by the Board to be required of a disciplined licensee in any of the following circumstances:
1. During any period of probation, suspension; or
2. During any period of revocation after which the licensee may petition for an order of compliance to reinstate the revoked license; or
3. As a prerequisite to the lifting of probation or suspension or as a prerequisite to the reinstatement of a revoked license; or
4. As a stand-alone requirement(s) in any disciplinary order.
(g) Civil penalty - A monetary disciplinary action assessed by the Board pursuant to paragraph (4) of this rule.
(h) Once ordered, probation, suspension, revocation, assessment of a civil penalty, or any other condition of any type of disciplinary action may not be lifted unless and until the licensee petitions, pursuant to paragraph (2) of this rule, and appears before the Board after the period of initial probation, suspension, revocation, or other conditioning has run and all conditions placed on the probation, suspension, revocation, have been met, and after any civil penalties assessed have been paid.
(2) Order of Compliance - This procedure is a necessary adjunct to previously issued disciplinary orders and is available only when a petitioner has completely complied with the provisions of a previously issued disciplinary order, including an unlicensed practice civil penalty order, and wishes or is required to obtain an order reflecting that compliance.
(a) The Board will entertain petitions for an Order of Compliance as a supplement to a previously issued order upon strict compliance with the procedures set forth in subparagraph (b) in only the following three (3) circumstances:
1. When the petitioner can prove compliance with all the terms of the previously issued order and is seeking to have an order issued reflecting that compliance; or
2. When the petitioner can prove compliance with all the terms of the previously issued order and is seeking to have an order issued lifting a previously ordered suspension or probation; or
3. When the petitioner can prove compliance with all the terms of the previously issued order and is seeking to have an order issued reinstating a license previously revoked.
(b) Procedures
1. The petitioner shall submit a Petition for Order of Compliance, as contained in subparagraph (c), to the Board's Administrative Office that shall contain all of the following:
(i) A copy of the previously issued order; and
(ii) A statement of which provision of subparagraph (a) the petitioner is relying upon as a basis for the requested order; and
(iii) A copy of all documents that prove compliance with all the terms or conditions of the previously issued order. If proof of compliance requires testimony of an individual(s), including that of the petitioner, the petitioner must submit signed statements from every individual the petitioner intends to rely upon attesting, under oath, to the compliance. The Board's consultant and administrative staff, in their discretion, may require such signed statements to be notarized. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, the petition.
2. The Board authorizes its consultant and administrative staff to make an initial determination on the petition and take one of the following actions:
(i) Certify compliance and have the matter scheduled for presentation to the Board as an uncontested matter; or
(ii) Deny the petition, after consultation with legal staff, if compliance with all of the provisions of the previous order is not proven and notify the petitioner of what provisions remain to be fulfilled and/or what proof of compliance was either not sufficient or not submitted.
3. If the petition is presented to the Board the petitioner may not submit any additional documentation or testimony other than that contained in the petition as originally submitted.
4. If the Board finds that the petitioner has complied with all the terms of the previous order an Order of Compliance shall be issued.
5. If the petition is denied either initially by staff or after presentation to the Board and the petitioner believes compliance with the order has been sufficiently proven the petitioner may, as authorized by law, file a petition for a declaratory order pursuant to the provisions of T.C.A. §§ 4-5-223 and rule 1200-10-1-.11.
(c) Form Petition
Petition for Order of Compliance
Board of Chiropractic Examiners
Petitioner's Name: _________________
Petitioner's Mailing Address: _________
Petitioner's E-Mail Address: __________
Telephone Number: ________________
Attorney for Petitioner: ______________
Attorney's Mailing Address: __________
Attorney's E-Mail Address: ___________
Telephone Number: ________________
The petitioner respectfully represents, as substantiated by the attached documentation, that all provisions of the attached disciplinary order have been complied with and I am respectfully requesting: (circle one)
1. An order issued reflecting that compliance; or
2. An order issued reflecting that compliance and lifting a previously ordered suspension or probation; or
3. An order issued reflecting that compliance and reinstating a license previously revoked.
Note - You must enclose all documents necessary to prove your request including a copy of the original order. If any of the proof you are relying upon to show compliance is the testimony of any individual, including yourself, you must enclose signed statements from every individual you intend to rely upon attesting, under oath, to the compliance. The Board's consultant and administrative staff, in their discretion, may require such signed statements to be notarized. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, this petition.
Respectfully submitted this the____day of___________, 20___.
__________________
Petitioner's Signature
(3) Order Modifications - This procedure is not intended to allow anyone under a previously issued disciplinary order, including an unlicensed practice civil penalty order, to modify any findings of fact, conclusions of law, or the reasons for the decision contained in the order. It is also not intended to allow a petition for a lesser disciplinary action, or civil penalty other than the one(s) previously ordered. All such provisions of Board orders were subject to reconsideration and appeal under the provisions of the Uniform Administrative Procedures Act (T.C.A. §§ 4-5-301, et seq.). This procedure is not available as a substitute for reconsideration and/or appeal and is only available after all reconsideration and appeal rights have been either exhausted or not timely pursued. It is also not available for those who have accepted and been issued a reprimand.
(a) The Board will entertain petitions for modification of the disciplinary portion of previously issued orders upon strict compliance with the procedures set forth in subparagraph (b) only when the petitioner can prove that compliance with any one or more of the conditions or terms of the discipline previously ordered is impossible. For purposes of this rule the term "impossible" does not mean that compliance is inconvenient or impractical for personal, financial, scheduling or other reasons.
(b) Procedures
1. The petitioner shall submit a written and signed Petition for Order Modification on the form contained in subparagraph (c) to the Board's Administrative Office that shall contain all of the following:
(i) A copy of the previously issued order; and
(ii) A statement of why the petitioner believes it is impossible to comply with the order as issued; and
(iii) A copy of all documents that proves that compliance is impossible. If proof of impossibility of compliance requires testimony of an individual(s), including that of the petitioner, the petitioner must submit signed and notarized statements from every individual the petitioner intends to rely upon attesting, under oath, to the reasons why compliance is impossible. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, the petition.
2. The Board authorizes its consultant and administrative staff to make an initial determination on the petition and take one of the following actions:
(i) Certify impossibility of compliance and forward the petition to the Office of General Counsel for presentation to the Board as an uncontested matter; or
(ii) Deny the petition, after consultation with legal staff, if impossibility of compliance with the provisions of the previous order is not proven and notify the petitioner of what proof of impossibility of compliance was either not sufficient or not submitted.
3. If the petition is presented to the Board the petitioner may not submit any additional documentation or testimony other than that contained in the petition as originally submitted.
4. If the petition is granted a new order shall be issued reflecting the modifications authorized by the Board that it deemed appropriate and necessary in relation to the violations found in the previous order.
5. If the petition is denied either initially by staff or after presentation to the Board and the petitioner believes impossibility of compliance with the order has been sufficiently proven the petitioner may, as authorized by law, file a petition for a declaratory order pursuant to the provisions of T.C.A. §§ 4-5-223 and rule 1200-10-1-.11.
(c) Form Petition
Petition for Order Modification
Board of Chiropractic Examiners
Petitioner's Name: _____________________
Petitioner's Mailing Address: _____________
Petitioner's E-Mail Address: ______________
Telephone Number: ____________________
Attorney for Petitioner: __________________
Attorney's Mailing Address: ______________
Attorney's E-Mail Address: _______________
Telephone Number: ____________________
The petitioner respectfully represents that for the following reasons, as substantiated by the attached documentation, the identified provisions of the attached disciplinary order are impossible for me to comply with:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
Note - You must enclose all documents necessary to prove your request including a copy of the original order. If any of the proof you are relying upon to show impossibility is the testimony of any individual, including yourself, you must enclose signed and notarized statements from every individual you intend to rely upon attesting, under oath, to the reasons why compliance is impossible. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, this petition.
Respectfully submitted this the__day of_________, 20___.
_______________________
Petitioner's Signature
(4) Civil Penalties
(a) Purpose - The purpose of this rule is to set out a schedule designating the minimum and maximum civil penalties which may be assessed pursuant to Public Chapter 389, Acts of 1989.
(b) Schedule of Civil Penalties
1. A Type A civil penalty may be imposed whenever the board finds the person who is required to be licensed or certified by the board is guilty of a willful and knowing violation of the Chiropractic Examiners Practice Act, or regulations promulgated pursuant thereto, to such an extent that there is, or is likely to be an imminent substantial threat to the health, safety and welfare of an individual client or the public. For purposes of this section, a Type A civil penalty shall include, but not be limited to, a person who willfully and knowingly is or was practicing as a chiropractic physician without a license from the board.
2. A Type B civil penalty may be imposed whenever the board finds the person required to be licensed or certified by the board is guilty of a violation of the Chiropractic Examiners Practice Act or regulations promulgated pursuant thereto in such manner as to impact directly on the care of clients or the public.
3. A Type C civil penalty may be imposed whenever the board finds the person required to be licensed or certified by the board is guilty of a violation of the Chiropractic Examiners Practice Act or regulations promulgated pursuant thereto, which are neither directly detrimental to the clients or public, nor directly impact their care, but have only an indirect relationship to client care or the public.
(c) Amount of Civil Penalties
1. Type A civil penalties shall be assessed in the amount of not less than $500 and not more than $ 1000.
2. Type B civil penalties may be assessed in the amount of not less than $100 and not more than $500.
3. Type C civil penalties may be assessed in the amount of not less than $50 and not more than $100.
(d) Procedures for Assessing Civil Penalties
1. The Division of Health Related Boards may initiate a civil penalty assessment by filing a Memorandum of Assessment of Civil Penalty. The Division shall state in the memorandum the facts and law upon which it relies in alleging a violation, the proposed amount of the civil penalty and the basis for such penalty. The Division may incorporate the Memorandum of Assessment of Civil Penalty with a Notice of Charges which may be issued attendant thereto.
2. Civil Penalties may also be initiated and assessed by the board during consideration of any Notice of Charges. In addition, the board may, upon good cause shown, assess type and amount of civil penalty which was not recommended by the Division.
3. In assessing the civil penalties pursuant to these rules the board may consider the following factors:
(i) Whether the amount imposed will be a substantial economic deterrent to the violator;
(ii) The circumstances leading to the violation;
(iii) The severity of the violation and the risk of harm to the public;
(iv) The economic benefits gained by the violator as a result of non-compliance; and
(v) The interest of the public.
4. All proceedings for the assessment of civil penalties shall be governed by the contested case provisions of T.C.A. Title 4, Chapter 5.
(5) Screening Panels - Any screening panel(s) established pursuant to T.C.A. §§ 63-4103:
(a) Shall have concurrent authority with the Board members and any individual chiropractor designated by the Board pursuant to rule 0260-02-.19(7), to do the acts enumerated therein and subject to the conditions contained therein.
1. A Screening panel(s) comprised of three (3) or more persons shall elect a chairperson prior to convening to conduct business. The screening panel(s) shall include at least one (1) but no more than three (3) licensed chiropractors who may be members of the board or may serve voluntarily or through employment by or under contract with the board.
2. A Screening panel(s) comprised of two (2) or more persons is required to conduct the informal hearings authorized in subparagraph (b) immediately below.
(b) After review of a complaint by the Board's consultant, or after completion of an investigation by the Division, a screening panel may upon request of either the state, or the licensee who is the subject of an investigation, or upon agreement of both the licensee and the state, conduct a non-binding informal hearing and make recommendations as a result thereof as to what, if any, terms of settlement of any potential disciplinary action are appropriate.
1. Neither the Rules of Civil Procedure, the rules of Evidence or Contested Case Procedural Rules under the Administrative Procedures Act shall apply in informal hearings before the screening panels(s).
(i) Evidence may be presented or received in any manner and in whatever order agreed upon by the parties.
(ii) Prior to convening the panel and in the absence of an agreement of the parties, the screening panel chairperson shall determine the manner and order of presentation of evidence.
2. Informal hearings may be conducted without the participation of the licensee who is the subject of the investigation.
3. A licensee who is the subject of an investigation being considered by a screening panel cannot be compelled to participate in any informal hearing.
4. It is not required that prior or subsequent notice of any informal hearing be given to any licensee who is the subject of an investigation being considered by a screening panel.
5. Proposed settlements reached as a result of any informal hearing will not become binding and final unless they are:
(i) Approved by a majority of the members of the screening panel which issued them; and
(ii) Agreed to by both the Department of Health, by and through its attorney(s), and the licensee; and
(iii) Subsequently presented to and ratified by the Board or a duly constituted panel of the Board.
(6) Subpoenas
(a) Purpose - Although this rule applies to persons and entities other than chiropractors, it is the Board's intent as to chiropractors that they be free to comprehensively treat and document treatment of their patients without fear that the treatment or its documentation will be unduly subjected to scrutiny outside the profession. Consequently, balancing that intent against the interest of the public and patients to be protected against substandard care and activities requires that persons seeking to subpoena such information and/or materials must comply with the substance and procedures of these rules.
It is the intent of the Board that the subpoena power outlined herein shall be strictly proscribed. Such power shall not be used by the division or board investigators to seek other incriminating evidence against chiropractors when the division or board does not have a complaint or basis to pursue such an investigation. Thus, unless the division or its investigators have previously considered, discovered, or otherwise received a complaint from either the public or a governmental entity, then no subpoena as contemplated herein shall issue.
(b) Definitions - As used in this chapter of rules the following words shall have the meanings ascribed to them:
1. Probable Cause
(i) For Investigative Subpoenas - shall mean that probable cause, as defined by case law at the time of request for subpoena issuance is made, that a violation of the Chiropractic Practice Act or rules promulgated pursuant thereto has occurred or is occurring and that it is more probable than not that the person(s), or items to be subpoenaed possess or contain evidence which is more probable than not relevant to the conduct constituting the violation.
(ii) The utilization of the probable cause evidentiary burden in proceedings pursuant to this rule shall not in any way, nor should it be construed in any way to establish a more restrictive burden of proof than the existing preponderance of the evidence in any civil disciplinary action which may involve the person(s) or items that are the subject of the subpoena.
2. Presiding Officer - For investigative subpoenas shall mean any elected officer of the board, or any duly appointed or elected chairperson of any panel of the board, or any screening panel, and any hearing officer, arbitrator or mediator.
(c) Procedures
1. Investigative Subpoenas
(i) Investigative subpoenas are available only for issuance to the authorized representatives of the Tennessee Department of Health, its investigators, and its legal staff.
(ii) An applicant for such a subpoena must either orally or in writing notify the Board Unit Director of the intention to seek issuance of a subpoena. That notification must include the following:
(I) The time frame in which issuance is required so the matter can be timely scheduled; and
(II) A particular description of the material or documents sought, which must relate directly to an ongoing investigation or contested case, and shall, in the instance of documentary materials, be limited to the records of the patient or patients whose complaint, complaints, or records are being considered by the division or board.
I. In no event shall such subpoena be broadly drafted to provide investigative access to chiropractic records of other patients who are not referenced either in the notice of charges or a complaint received from an individual or governmental entity, or who have not otherwise sought relief, review, or board consideration of a chiropractor's conduct, act, or omission; and
(III) Whether the proceedings for the issuance is to be conducted by physical appearance or electronic means; and
(IV) The name and address of the person for whom the subpoena is being sought, or who has possession of the items being subpoenaed.
(iii) The Board's Unit Director shall cause to have the following done:
(I) In as timely a manner as possible arrange for either an elected officer of the board, or any screening panel, or any hearing officer, arbitrator or mediator to preside and determine if the subpoena should be issued; and
(II) Establish a date, time and place for the proceedings to be conducted and notify the presiding officer, the applicant and the court reporter; and
(III) Maintain a complete record of the proceedings including an audio tape in such a manner as to:
I. Preserve a verbatim record of the proceeding; and
II. Prevent the person presiding over the proceedings and/or signing the subpoena from being allowed to participate in any manner in any disciplinary action of any kind formal or informal which may result which involves either the person or the documents or records for which the subpoena was issued.
(iv) The Proceedings
(I) The applicant shall do the following:
I. Provide for the attendance of all persons whose testimony is to be relied upon to establish probable cause; and
II. Produce and make part of the record copies of all documents to be utilized to establish probable cause; and
III. Obtain, complete and provide to the presiding officer a subpoena which specifies the following:
A. The name and address of the person for whom the subpoena is being sought or who has possession of the items being subpoenaed; and
B. The location of the materials, documents or reports for which production pursuant to the subpoena is sought if that location is known; and
C. A brief, general description of any items to be produced pursuant to the subpoena; and
D. The date, time and place for compliance with the subpoena.
IV. Provide the presiding officer testimony and/or documentary evidence which in good faith the applicant believes is sufficient to establish that probable cause exists for issuance of the subpoena as well as sufficient proof that all other reasonably available alternative means of securing the materials, documents or items have been unsuccessful.
(v) The Presiding Officer shall do the following:
(I) Be selected only after assuring the Board Unit Director that he or she has no prior knowledge of or any direct or indirect interest in or relationship with the person(s) being subpoenaed and/or the licensee who is the subject of the investigation; and
(II) Commence the proceedings and swear all necessary witnesses; and
(III) Hear and maintain the confidentiality, if any, of the evidence presented at the proceedings; and
(IV) Control the manner and extent of inquiry during the proceedings and be allowed to question any witness who testifies; and
(V) Determine based solely on the evidence presented in the proceedings whether probable cause exists and if so, issue the subpoena for the person(s) or items specifically found to be relevant to the inquiry; and
(VI) Sign the subpoena as ordered to be issued; and
(VII) Not participate in any way in any other proceeding whether formal or informal which involves the matters, items or person(s) which are the subject of the subpoena. This does not preclude the presiding officer from presiding at further proceedings for issuance of subpoenas in the matter.
2. Post-Notice of Charges Subpoenas - If the subpoena is sought for a contested case hearing pursuant to Title 4, Chapter 5 of the Tennessee Code Annotated, this definition shall not apply. All such post-notice of charges subpoenas should be obtained from the office of the Administrative Procedures Division of the Office of the Secretary of State pursuant to the Uniform Administrative Procedures Act and rules promulgated pursuant thereto.
(d) Subpoena Forms
1. All subpoena shall be issued on forms approved by the Board.
2. The subpoena forms may be obtained by contacting the Board's Administrative Office.
(e) Subpoena Service - Any method of service of subpoenas authorized by the Tennessee Rules of Civil Procedure or the rules of procedure for contested cases of the Tennessee Department of State, Administrative Procedures Division may be utilized to serve subpoenas pursuant to this rule.
(7) Assessment of costs in disciplinary proceedings shall be as set forth in T.C.A. §§ 63-1- 144 and 63-4-115.
Notes
Authority: T.C.A. §§ 4-5-101, 4-5-202, 4-5-204, 4-5-217, 4-5-223, 4-5-224, 4-5-225, 4-5-311, 63-1-117, 63-1-122, 63-1-134, 63-1-144, 63-4-102, 63-4-103, 63-4-104, 63-4-106, 63-4-114, and 63-4-115.