1. (a) An information system of each complaint received, processed, and investigated shall be maintained under the supervision of the Director of Enforcement. Such information system shall be from the time the complaint is received until final disposition of the complaint. The information system shall include all pertinent information regarding all parties involved in the investigative phases.
2. (b) Upon receipt of a complaint, the Director of Enforcement or his/her designee shall contact and provide the Board Secretary a copy of each complaint received. A review of the complaint shall be made by the Board Secretary or his/her designee and a determination of the complaint shall be accomplished. Such determination shall include, but not be limited to, State Board of Dental Examiners jurisdiction or to contact the complainant and request additional information.
3. (c) If an investigation of a complaint is authorized, an appropriate case number shall be assigned, along with the allegation category, date the investigative report is due, and other factors necessary to "track" the complaint and the investigation process. Complaints shall be numbered sequentially by current fiscal year.
4. (d) The Director of Enforcement shall supervise and ensure that the accountability of investigations shall follow the established protocol as specified in the Dental Practice Act and/or the Board's rules and regulations. No investigation shall be initiated or conducted without authorization of the Board Secretary or his/her designee.
5. (e) Should an investigator receive information that may reflect a violation(s) of the Dental Practice Act and/or the Board's rules and regulations, a memorandum shall be written and submitted to the Director of Enforcement. The Director of Enforcement, after approval from the Executive Director, shall coordinate with the Board Secretary or his/her designee as to whether to open a case file or not.
6. (f) Each investigative case file (complaint) shall contain an up-to-date record of all persons/witnesses contacted in relation to the case investigation. Investigators shall be responsible for maintaining and updating this current record as the investigation progresses.
7. (g) Investigators shall ensure, at least as frequently as quarterly and until final disposition of the complaint, that the complainant and respondent to the complaint shall be notified of the status of the complaint unless the notice would jeopardize an undercover investigation.
8. (h) During the course of the investigation, the complainant and respondent involved in the complaint shall be given an opportunity to explain or to comment on the allegations made in the complaint. At the initiation of the investigation, the respondent shall be provided with a copy of the complaint to facilitate his/her response.
9. (i) The Director of Enforcement shall ensure that complaints are not dismissed or disposed until the investigative file has been reviewed by the Board Secretary or his/her designee. Upon completion of the review, the Board Secretary or his/her designee may elect to close the case, refer the case to a settlement conference, refer the case for the imposition of an administrative penalty, or direct further investigative action. On those cases in which the Board Secretary closes the case and the complainant objects to such closure and provides additional documentation to support his/her allegations, the investigative case shall be reviewed by at least three members of the Enforcement Committee to determine an appropriate course of action.
10. (j) Upon completion of the review, the complainant and respondent shall be provided correspondence reflecting the decision of the Board Secretary or his/her designee. If the case is referred to a settlement conference, the complainant and respondent to the complaint shall be notified timely as to the date and time of the conference.
11. (k) Settlement Conference sessions shall follow established protocol as detailed in Chapter 107, Dental Board Procedures, of the Board's rules and regulations. As part of the notification of an informal proceeding which is held in compliance with §2001.054(c), Government Code, the complainant and licensee shall be given the opportunity to be heard at the informal conference.
12. (l) All revocations, cancellations, or suspensions of licenses by the Board shall be enacted in the manner provided by the Chapter 2001, Government Code, Administrative Procedure Act.

Source Note:The provisions of this §107.102 adopted to be effective April 19, 1996, 21 TexReg 3182; amended to be effective August 11, 1997, 22 TexReg 7036.