CONFIDENTIALITY
All information and records obtained during
the investigation of a case, including medical
records, staff reports and investigative reports, are
confidential and are not available to the public
unless the matter proceeds to a formal hearing.
Cases that are closed with no Board action remain
nonpublic. The investigations of any complaint
may need to be disclosed to other licensing
authorities and credentialing bodies.
POSSIBLE OUTCOMES OF
INVESTIGATIONS
Cases are resolved in three main ways: The Board
may decide to take no formal action (Accept as
Information or AAI); the Board may vote to take
private action (such as issuing a private letter of
concern): or, the Board may vote to take public
action to resolve the case. Complainants are
notified when a case is closed and are provided
with general information about how it was resolved .
The outcome of an individual case depends on
the unique circumstances of that case, as well as
any mitigating or aggravating factors (such as a
prior history with the Board) that may be present.
The descriptions below are intended to provide a
general guide to the factors that are present when
the Board votes to resolve a case in the following
ways:
Accept as Information (AAI): The Board
finds no violation of the Medical Practice Act
(NCGS 90-14.) The case is closed and kept on file
in the licensee's confidential permanent file. On
average, 60 percent of matters investigated are
accepted as information (AAI.)
Private Board Action: The Board does not
find a violation of the Medical Practice Act that
warrants public action, but it is nonetheless
concerned about some aspect of the licensee's
conduct or performance. Private action is taken,
such as a confidential letter of concern to the
licensee, a remedial CME course, or a request
that the licensee attend a confidential interview
to discuss their conduct with members of the
Board. On average, about 24 percent of matters
investigated result in private actions.
Public Board Action: The Board determines
there was a violation of the Medical Practice Act
that requires remedial and/or disciplinary action.
For example, the licensee may have engaged
in conduct that was illegal or unethical, or
may have issues with clinical competence,
posing a potential threat to patient safety or
welfare. Wherever possible, the Board develops
corrective action for a violation that provides
adequate patient protection without placing
undue restrictions on the licensee. On average,
10 percent of investigations result in public
actions.
What's a 'public action'? Public actions
range from a public letter of concern, which
the Board considers to be non-disciplinary, to
suspension or revocation of the license, with
many options in between. For example, the
Board may issue a fine, reprimand the licensee or
impose limitations on his or her scope of practice.
All public actions of the Board are posted on the
NCMB's public website, www. ncmedboard.org
Actions against an individual's license may be
viewed online by the public via that individual’s
Licensee Information page.
If the Board's review determines that some type
of public action may be warranted, it is possible
the outcome of the case will be determined
through a public hearing. However, most cases
that result in public action are resolved through
negotiated settlement agreements known as
consent orders.
THANK YOU
The Board understands that being the subject
of an investigation is both disconcerting
and time-consuming, and we appreciate
your cooperation over the course of the
investigation. Complaints to the Board are an
important avenue for members of the public to
air their concerns. In addition, the investigative
process can provide a valuable opportunity for
licensees to view their practices from a different
perspective and, when appropriate, modify
and improve certain aspects of conduct or
care.
NOTICE TO LICENSEE
(Investigation/complaint)
The North Carolina Medical Board has received
a complaint against you or your self-reported
statement. With the primary goal of patient
protection, the Board must evaluate the significance
and validity of the information presented in the
complaint. Your cooperation is essential to ensure a
thorough examination of this issue. All investigative
matters coming before the Board are judged on their
individual merits.
Listed below is information regarding the Board's
process:
• The licensee is required to respond to the Board's
inquiry within the time permitted under 21 NCAC
32N .0107.
• The licensee may retain counsel.
• The Board should be notified in writing as to the
name and address of counsel if retained.
• If counsel is retained, the Board will communicate
through that counsel, except that certain
documents will be sent to both licensee and
counsel.
• All information provided to the Board and its staff
will be considered in the Board's review of the
matter.
• The Board's inquiry should be completed within 6
months of initial contact: if not. the licensee will
be provided an explanation as to why the inquiry
was extended.
• If the Board makes a decision to initiate public
action, the licensee may request, in writing, an
informal, non-public, pre-charge conference.
Have questions or need more information?
Contact the Board:
3127 Smoketree Court | Raleigh, NC 27604
800.253.9653 (toll free) | (919) 326.1 100
www.ncmedboard.org
info@ncmedboard.org
NORTH CAROLINA
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MEDICAL BOARD
NORTH CAROLINA MEDICAL BOARD
Investigative Process