Department Functions:

The Disciplinary department is responsible for implementing the duties of two main roles within the agency: Complaints and Investigations.

Complaints:

Disciplinary Administrative Staff receive complaints from various sources including, but not limited to, patients, family members, interested parties, medical staff, co-workers, medical facilities, licensees, or insurance companies. Disciplinary Counsel or a Disciplinary staff attorney reviews the complaint to determine if there is a possible violation of the licensee’s Practice Act that rises to the level of further inquiry. Although many facets are considered, two requirements are necessary to open an investigation: the complaint must pertain to the licensee’s Practice Act and must allege facts constituting a violation of the laws administered by the Board.

Overview of Complaint Process

1. Receive Complaint
2. Attorney Review of Complaint
3. Close Complaint or Open Investigation
4. Review by the Appropriate Profession’s Review Committee for Standard of Care Concerns and/or Review by Disciplinary Panel
5. Close Investigation or Receive Authorization for Further Action

Investigations

Investigations are assigned to a Kansas State Board of Healing Arts investigator. Investigations usually involve getting medical records from the licensee/registrant and any facility that may be involved. It may also involve interviewing witnesses, visiting facilities, obtaining information from law enforcement or other regulatory agencies. Investigations are conducted through the authority set forth by K.S.A. 65-2839a: “Investigations and proceedings conducted by board; access to evidence; subpoenas; access to criminal history; confidentiality of information.” Board investigations are time consuming and may take several months, depending on the seriousness and complexity of the allegations. Board investigations are required by law to be confidential, pursuant to K.S.A. 65-2898a. Therefore, there are limits to what information may be released, even to the person making the complaint. The Board has broad authority to obtain information even though the information may otherwise be confidential as a privileged communication. However, other information may be available only with the patient's specific consent. Once a complaint is investigated and Disciplinary Counsel reviews the investigative information, the case is either closed or forwarded to a Review Committee, a Professional Council, or the Disciplinary Panel depending upon the licensee’s profession and the nature of the complaint. If the issue involves competency to practice, the case may be reviewed by a panel of peers, Review Committee or Professional Council, to determine whether the standard of care has been met. If there is evidence of a violation, the case is reviewed by a Disciplinary Panel of the Board to determine what action, if any, to take.

Overview of Investigation Process

1. Letter Sent to Complainant, Investigation File Opened, Investigation Assigned to Investigator
2. Letter to Licensee Informing Licensee of Complaint, Requesting Response from Licensee, or other Initial Contact, as appropriate
3. Subpoena Patient Records, Billing Records, Other Reports and Documents, as appropriate
4. Conduct Witness Interviews, Inspection of Facilities, Analyze Information, Write Interim Reports, and Complete All Necessary Tasks Related to the Investigation
5. File Final Report and Investigative Materials to Disciplinary Counsel for Review

Review Committees & Councils:

A Review Committee or Council is comprised of a panel of peers (i.e., members of a Review Committee or Council have the same license designation type as the licensee under review). The Review Committee or Council reviews the allegations, evidence, and findings of the investigation related to standard of care concerns. The Review Committee or Council then makes an initial determination as to whether or not the standard-of-care was met. If the standard of care was met, a recommendation to close the investigation is made. The findings are forwarded to the Disciplinary Panel for review and approval. If the Review Committee or Council determines the standard of care was not met, the recommendation and evidence are forwarded to Litigation Counsel to present the case to a Disciplinary Panel for review.

Complaint/Investigative Flow Chart

Department Staff