Public Complaint Handling and Disposition

PURPOSE: This rule states how complaints should be filed with the board and the procedure for handling the complaints. (1) The board shall receive and process each complaint made against any licensee or unlicensed individual or entity, which complaint alleges certain acts or practices which may constitute one (1) or more violations of the provisions of Chapter 336, RSMo. Any member of the public or the profession or any federal, state or local official may make and file a complaint with the board. Complaints shall be received from sources outside Missouri and processed in the same manner as those originating within Missouri. No member of the board shall file a complaint with this board while he/she holds that office, unless that member excuses himself/herself from further board deliberations or activity concerning the matters alleged within that complaint. The executive director or any staff member of the board may file a complaint pursuant to this rule in the same manner as any member of the public. (2) Complaints should be mailed or delivered to the State Board of Optometry. However, actual receipt of the complaint by the board at its administrative offices in any manner shall be sufficient. Complaints may be made based upon personal knowledge, or upon information and belief, reciting information received from other sources. (3) All complaints shall be made on forms provided by the board and shall fully identify the affiant by name and address. Complaint forms will be provided by the board and are available upon request. Oral and telephone communications will not be considered or processed as complaints but the person making these communications will be provided with a complaint form and requested to complete it and return it to the board. Any member of the administrative staff or the board may make and file a complaint based upon information and belief, in reliance upon oral, telephone or written communications received by the board, unless those communications are believed by that staff member to be false. (4) Each complaint received under this rule shall be logged in a book maintained by the board for that purpose. The logbook shall contain a record of each complainant’s name and address; the name and address of the subject(s) of the complaint; the date each complaint is received by the board; a brief statement of the acts complained of, including the name of any person injured or victimized by the alleged acts or practices; a notation whether the complaint was dismissed by the board or if informal charges were filed with the Administrative Hearing Commission; and the ultimate disposition of the complaint. This logbook shall be a closed record of the board. (5) Each complaint received under this rule shall be acknowledged in writing. The acknowledgement shall state that the complaint is being referred to the board for consideration at its next regularly scheduled meeting. The complainant shall be informed in writing as to whether the complaint is being investigated and later, as to whether the complaint is being dismissed by the board or is being referred to legal counsel for filing with the Administrative Hearing Commission. The complainant shall be notified of the ultimate disposition of the complaint, excluding judicial appeals, and shall be provided with copies of the decisions (if any) of the Administrative Hearing Commission and the board. The provisions of this section shall not apply to complaints filed by staff members of the board based on information and belief, acting in reliance on third-party information received by the board. (6) Both the complaint and any information obtained as a result of the investigation shall be considered closed records and shall not be available for inspection by the general public. However, upon written request, a copy of the complaint and any attachments may be provided to any licensee who is the subject of that complaint or to his/her legal counsel. (7) This rule shall not be deemed to limit the board’s authority to file a complaint with the Administrative Hearing Commission charging a licensee with any actionable conduct or violation, whether or not the complaint exceeds the scope of the acts charged in a preliminary public complaint filed with the board and whether or not any public complaint has been filed with the board. (8) The board interprets this rule, which is required by law, to exist for the benefit of those members of the public who submit complaints to the board and for those persons or entities within the legislative and executive branches of government having supervisory or other responsibilities or control over the professional licensing boards. This rule is not deemed to protect, or inure to the benefit of, those licensees or other persons against whom the board has instituted or may institute administrative or judicial proceedings concerning possible violations of the provisions of Chapter 336, RSMo. AUTHORITY: sections 336.160.1 and 610.010.15(6), RSMo Supp. 2007.* This rule originally filed as 4 CSR 210-2.040. Original rule filed Dec. 19, 1975, effective Dec. 29, 1975. Rescinded and readopted: Filed Oct. 14, 1981, effective Jan. 14, 1982. Amended: Filed Dec. 6, 1982, effective March 11, 1983. Amended: Filed Sept. 13, 1995, effective March 30, 1996. Amended: Filed June 28, 2002, effective Dec. 30, 2002. Moved to 20 CSR 2210-2.040, effective Aug. 28, 2006. Amended: Filed Dec. 5, 2007, effective June 30, 2008. *Original authority: 336.160.1, RSMo 1939, amended 1947, 1963, 1981, 2007 and 610.010, RSMo 1973, amended 1977, 1978, 1982, 1987, 1993, 1998, 2004.