Source: http://www.sanerights.org/professional-misconduct.html
Timestamp: 2018-01-20 05:16:14
Document Index: 402566998

Matched Legal Cases: ['§ 6530', '§ 6530', '§ 230', '§ 230', '§ 230', '§ 230', '§ 230', '§ 230', '§ 230']

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Professional misconduct laws
New York State Education § 6530 Definitions of Professional Misconduct (other states' professional misconduct laws are similar to this; please check your state constitution to compare). The unconscionably long Section 230 of the NY Public Health Law pertains to the State board proceedings for professional medical misconduct. In short, they are designed to protect the physician, not the patient.
§ 6530. Definitions of professional misconduct. Each of the following is professional misconduct, and any licensee found guilty of such misconduct under the procedures prescribed in section two hundred thirty of the public health law shall be subject to penalties as prescribed in section two hundred thirty-a of the public health law except that the charges may be dismissed in the interest of justice:
1. Obtaining the license fraudulently;
2. Practicing the profession fraudulently or beyond its authorized scope;
3. Practicing the profession with negligence on more than one occasion;
4. Practicing the profession with gross negligence on a particular occasion;
5. Practicing the profession with incompetence on more than one occasion;
6. Practicing the profession with gross incompetence;
7. Practicing the profession while impaired by alcohol, drugs, physical disability, or mental disability;
8. Being a habitual abuser of alcohol, or being dependent on or a habitual user of narcotics, barbiturates, amphetamines, hallucinogens, or other drugs having similar effects, except for a licensee who is maintained on an approved therapeutic regimen which does not impair the ability to practice, or having a psychiatric condition which impairs the licensee's ability to practice;
9. (a) Being convicted of committing an act constituting a crime under:
(i) New York state law or,
(ii) federal law or,
(iii) the law of another jurisdiction and which, if committed within this state, would have constituted a crime under New York state law;
(b) Having been found guilty of improper professional practice or professional misconduct by a duly authorized professional disciplinary agency of another state where the conduct upon which the finding was based would, if committed in New York state, constitute professional misconduct under the laws of New York state;
(c) Having been found guilty in an adjudicatory proceeding of violating a state or federal statute or regulation, pursuant to a final decision or determination, and when no appeal is pending, or after resolution of the proceeding by stipulation or agreement, and when the violation would constitute professional misconduct pursuant to this section;
(d) Having his or her license to practice medicine revoked, suspended or having other disciplinary action taken, or having his or her application for a license refused, revoked or suspended or having voluntarily or otherwise surrendered his or her license after a disciplinary action was instituted by a duly authorized professional disciplinary agency of another state, where the conduct resulting in the revocation, suspension or other disciplinary action involving the license or refusal, revocation or suspension of an application for a license or the surrender of the license would, if committed in New York state, constitute professional misconduct under the laws of New York state;
(e) Having been found by the commissioner of health to be in violation of article thirty-three of the public health law;
10. Refusing to provide professional service to a person because of such person's race, creed, color or national origin;
11. Permitting, aiding or abetting an unlicensed person to perform activities requiring a license;
12. Practicing the profession while the license is suspended or inactive as defined in subdivision thirteen of section two hundred thirty of the public health law, or willfully failing to register or notify the department of education of any change of name or mailing address, or, if a professional service corporation, willfully failing to comply with sections fifteen hundred three and fifteen hundred fourteen of the business corporation law or, if a university faculty practice corporation wilfully failing to comply with paragraphs (b), (c) and (d) of section fifteen hundred three and section fifteen hundred fourteen of the business corporation law;
13. A willful violation by a licensee of subdivision eleven of section two hundred thirty of the public health law;
14. A violation of section twenty-eight hundred three-d or twenty-eight hundred five-k of the public health law; or
15. Failure to comply with an order issued pursuant to subdivision seven, paragraph (a) of subdivision ten, and subdivision seventeen of section two hundred thirty of the public health law;
16. A willful or grossly negligent failure to comply with substantial provisions of federal, state, or local laws, rules, or regulations governing the practice of medicine;
17. Exercising undue influence on the patient, including the promotion of the sale of services, goods, appliances, or drugs in such manner as to exploit the patient for the financial gain of the licensee or of a third party;
18. Directly or indirectly offering, giving, soliciting, or receiving or agreeing to receive, any fee or other consideration to or from a third party for the referral of a patient or in connection with the performance of professional services;
19. Permitting any person to share in the fees for professional services, other than: a partner, employee, associate in a professional firm or corporation, professional subcontractor or consultant authorized to practice medicine, or a legally authorized trainee practicing under the supervision of a licensee. This prohibition shall include any arrangement or agreement whereby the amount received in payment for furnishing space, facilities, equipment or personnel services used by a licensee constitutes a percentage of, or is otherwise dependent upon, the income or receipts of the licensee from such practice, except as otherwise provided by law with respect to a facility licensed pursuant to article twenty-eight of the public health law or article thirteen of the mental hygiene law;
20. Conduct in the practice of medicine which evidences moral unfitness to practice medicine;
21. Willfully making or filing a false report, or failing to file a report required by law or by the department of health or the education department, or willfully impeding or obstructing such filing, or inducing another person to do so;
22. Failing to make available to a patient, upon request, copies of documents in the possession or under the control of the licensee which have been prepared for and paid for by the patient or client;
23. Revealing of personally identifiable facts, data, or information obtained in a professional capacity without the prior consent of the patient, except as authorized or required by law;
24. Practicing or offering to practice beyond the scope permitted by law, or accepting and performing professional responsibilities which the licensee knows or has reason to know that he or she is not competent to perform, or performing without adequate supervision professional services which the licensee is authorized to perform only under the supervision of a licensed professional, except in an emergency situation where a person's life or health is in danger;
25. Delegating professional responsibilities to a person when the licensee delegating such responsibilities knows or has reason to know that such person is not qualified, by training, by experience, or by licensure, to perform them;
25-a. With respect to any non-emergency treatment, procedure or surgery which is expected to involve local or general anesthesia, failing to disclose to the patient the identities of all physicians, except medical residents in certified training programs, podiatrists and dentists, reasonably anticipated to be actively involved in such treatment, procedure or surgery and to obtain such patient's informed consent to said practitioners' participation;
26. Performing professional services which have not been duly authorized by the patient or his or her legal representative;
27. Advertising or soliciting for patronage that is not in the public interest.
(a) Advertising or soliciting not in the public interest shall include, but not be limited to, advertising or soliciting that:
(i) is false, fraudulent, deceptive, misleading, sensational, or flamboyant;
(ii) represents intimidation or undue pressure;
(iii) uses testimonials;
(iv) guarantees any service;
(v) makes any claim relating to professional services or products or the costs or price therefor which cannot be substantiated by the licensee, who shall have the burden of proof;
(vi) makes claims of professional superiority which cannot be substantiated by the licensee, who shall have the burden of proof; or
(vii) offers bonuses or inducements in any form other than a discount or reduction in an established fee or price for a professional service or product.
(b) The following shall be deemed appropriate means of informing the public of the availability of professional services: (i) informational advertising not contrary to the foregoing prohibitions; and
(ii) the advertising in a newspaper, periodical or professional directory or on radio or television of fixed prices, or a stated range of prices, for specified routine professional services, provided that if there is an additional charge for related services which are an integral part of the overall service being provided by the licensee, the advertisement shall so state, and provided further that the advertisement indicates the period of time for which the advertised prices shall be in effect.
(c) (i) All licensees placing advertisements shall maintain, or cause to be maintained, an exact copy of each advertisement, transcript, tape or video tape thereof as appropriate for the medium used, for a period of one year after its last appearance. This copy shall be made available for inspection upon demand of the department of health;
(ii) A licensee shall not compensate or give anything of value to representatives of the press, radio, television or other communications media in anticipation of or in return for professional publicity in a news item;
(d) No demonstrations, dramatizations or other portrayals of professional practice shall be permitted in advertising on radio or television;
28. Failing to respond within thirty days to written communications from the department of health and to make available any relevant records with respect to an inquiry or complaint about the licensee's professional misconduct. The period of thirty days shall commence on the date when such communication was delivered personally to the licensee. If the communication is sent from the department of health by registered or certified mail, with return receipt requested, to the address appearing in the last registration, the period of thirty days shall commence on the date of delivery to the licensee, as indicated by the return receipt;
29. Violating any term of probation or condition or limitation imposed on the licensee pursuant to section two hundred thirty of the public health law;
30. Abandoning or neglecting a patient under and in need of immediate professional care, without making reasonable arrangements for the continuation of such care, or abandoning a professional employment by a group practice, hospital, clinic or other health care facility, without reasonable notice and under circumstances which seriously impair the delivery of professional care to patients or clients;
31. Willfully harassing, abusing, or intimidating a patient either physically or verbally;
32. Failing to maintain a record for each patient which accurately reflects the evaluation and treatment of the patient, provided, however, that a physician who transfers an original mammogram to a medical institution, or to a physician or health care provider of the patient, or to the patient directly, as otherwise provided by law, shall have no obligation under this section to maintain the original or a copy thereof. Unless otherwise provided by law, all patient records must be retained for at least six years. Obstetrical records and records of minor patients must be retained for at least six years, and until one year after the minor patient reaches the age of eighteen years;
33. Failing to exercise appropriate supervision over persons who are authorized to practice only under the supervision of the licensee;
34. Guaranteeing that satisfaction or a cure will result from the performance of professional services;
35. Ordering of excessive tests, treatment, or use of treatment facilities not warranted by the condition of the patient;
36. Claiming or using any secret or special method of treatment which the licensee refused to divulge to the department of health;
37. Failing to wear an identifying badge, which shall be conspicuously displayed and legible, indicating the practitioner's name and professional title authorized pursuant to this chapter, while practicing as an employee or operator of a hospital, clinic, group practice or multiprofessional facility, or at a commercial establishment offering health services to the public;
38. Entering into an arrangement or agreement with a pharmacy for the compounding and/or dispensing of coded or specially marked prescriptions;
39. With respect to all professional practices conducted under an assumed name, other than facilities licensed pursuant to article twenty-eight of the public health law or article thirteen of the mental hygiene law, failing to post conspicuously at the site of such practice the name and licensure field of all of the principal professional licensees engaged in the practice at that site (i.e., principal partners, officers or principal shareholders);
40. Failing to provide access by qualified persons to patient information in accordance with the standards set forth in section eighteen of the public health law as added by chapter 497 of the laws of 1986;
41. Knowingly or willfully performing a complete or partial autopsy on a deceased person without lawful authority;
42. Failing to comply with a signed agreement to practice medicine in New York state in an area designated by the commissioner of education as having a shortage of physicians or refusing to repay medical education costs in lieu of such required service, or failing to comply with any provision of a written agreement with the state or any municipality within which the licensee has agreed to provide medical service, or refusing to repay funds in lieu of such service as consideration of awards made by the state or any municipality thereof for his or her professional education in medicine, or failing to comply with any agreement entered into to aid his or her medical education;
43. Failing to complete forms or reports required for the reimbursement of a patient by a third party. Reasonable fees may be charged for such forms or reports, but prior payment for the professional services to which such forms or reports relate may not be required as a condition for making such forms or reports available;
44. In the practice of psychiatry, (a) any physical contact of a sexual nature between licensee and patient except the use of films and/or other audiovisual aids with individuals or groups in the development of appropriate responses to overcome sexual dysfunction and (b) in therapy groups, activities which promote explicit physical sexual contact between group members during sessions; and
45. In the practice of ophthalmology, failing to provide a patient, upon request, with the patient's prescription including the name, address, and signature of the prescriber and the date of the prescription.
46. A violation of section two hundred thirty-eight of the public health law by a professional other than a professional subject to the provisions of paragraph (f) of subdivision one of section twenty-eight hundred five-k of the public health law.
47. Failure to use scientifically accepted barrier precautions and infection control practices as established by the department of health pursuant to section two hundred thirty-a of the public health law.
* 48. A violation of section two hundred thirty-d of the public health law or the regulations of the commissioner of health enacted thereunder.
* NB Effective January 14, 2008
New York Public Health Law section 230 also applies.
Section 230. PROFESSIONAL MEDICAL CONDUCT
State board for professional medical conduct proceedings.
Penalties for professional misconduct and specialist's assistants.
230-a. Penalties for professional misconduct.
230-b. Disciplinary proceedings for physicians' assistants.
230-c. Administrative review board for professional
medical conduct.
230-d. Office-based surgery.
§ 230. State board for professional medical conduct; proceedings.
state board for professional medical conduct is hereby created in
department in matters of professional misconduct as defined in
sixty-five hundred thirty and sixty-five hundred thirty-one of
education law. Its physician members shall be appointed by
commissioner at least eighty-five percent of whom shall be from
nominations submitted by the medical society of the state of New
the New York state osteopathic society, the New York academy
medicine, county medical societies, statewide specialty
recognized by the council of medical specialty societies, and
hospital association of New York state. Its lay members shall
appointed by the commissioner with the approval of the governor.
board of regents shall also appoint twenty percent of the members of
board. Not less than sixty-seven percent of the members appointed by
board of regents shall be physicians. Not less than eighty-five
of the physician members appointed by the board of regents shall be
among nominations submitted by the medical society of the state of
York, the New York state osteopathic society, the New York academy
medicine, county medical societies, statewide medical
230-a.
230-a*2. Infection control standards.
230-b. Disciplinary proceedings for physician's assistants
hospital association of New York state. Any failure to meet
percentage thresholds stated in this subdivision shall not be
for invalidating any action by or on authority of the board
professional medical conduct or a committee or a member thereof.
board for professional medical conduct shall consist of not fewer
eighteen physicians licensed in the state for at least five years,
of whom shall be doctors of osteopathy, not fewer than two of whom
be physicians who dedicate a significant portion of their practice
the use of non-conventional medical treatments who may be nominated
New York state medical associations dedicated to the advancement of
treatments, at least one of whom shall have expertise in
care, and not fewer than seven lay members. An executive secretary
be appointed by the chairperson and shall be a licensed physician.
executive secretary shall not be a member of the board, shall
office at the pleasure of, and shall have the powers and duties
and the annual salary fixed by, the chairperson. The chairperson
also assign such secretaries or other persons to the board as
2. Members of such board shall be appointed by the commissioner or
board of regents for three year terms except that the terms of
first appointed shall be arranged so that as nearly as possible an
number shall terminate annually. A vacancy occurring during a term
be filled by an appointment by the commissioner or the board of
3. Each member of the board shall receive a certificate
appointment, shall before beginning his term of office file
constitutional oath of office with the secretary of state, shall
up to one hundred fifty dollars as prescribed by the commissioner
each day devoted to board work not to exceed ten thousand dollars in
one year, and shall be reimbursed for his necessary expenses. Any
may be removed from the board at the pleasure of the commissioner.
4. The governor shall annually designate from the members of the
a chairperson who shall be a physician and vice-chairperson. The
shall meet upon call of the chairperson, and may adopt bylaws
with this section. A quorum for the transaction of business by the
shall be a majority of members.
5. From among the members of the board two or more committees
professional conduct shall be appointed by the board chairperson.
6. Any committee on professional conduct appointed pursuant to
provisions of this section shall consist of two physicians and one
* 7. The board, by its committees on professional conduct,
conduct disciplinary proceedings as prescribed in this section and
assist in other professional conduct matters as prescribed by
chairperson. In this section the term "licensee" shall mean
including a physician practicing under a limited permit, a
resident, physician's assistant and specialist's assistant. A
on professional conduct, on notice to the licensee and after
the licensee, the office of professional medical conduct, and
attorneys an opportunity to be heard, shall have the authority to
a licensee to submit to a medical or psychiatric examination when
committee has reason to believe the licensee may be impaired by
drugs, physical disability or mental disability. The committee, with
advice of the licensee and the office of professional medical
shall designate the physician who will conduct the examination.
results of the examination shall be provided by the examining
to the committee, the licensee, and the office of professional
conduct. The licensee may also obtain a physician to conduct
examination the results of which shall be provided to the committee
the office of professional medical conduct.
* NB Effective until November 3, 2008
* 7. (a) The board, by its committees on professional conduct,
(b) A committee on professional conduct may sit as an
tribunal for the purpose of issuing an order authorizing the office
professional medical conduct to obtain medical records or
protected health information pertaining to the licensee's physical
mental condition when the committee has reason to believe that
licensee may be impaired by alcohol, drugs, physical disability
mental disability and that the records or information may be relevant
the alleged impairment or that information regarding the
medical condition may be relevant to an inquiry into a report of
communicable disease, as defined by the state sanitary code or
No such order shall be issued except on notice to the licensee and
affording the licensee and the office of professional medical conduct
(c) A committee on professional conduct, on notice to the licensee
after affording the licensee and the office of professional
conduct an opportunity to be heard, shall have the authority to
licensee to submit to a clinical competency examination when
committee has reason to believe that the licensee has practiced
incompetence, generally in his or her medical practice or in a
area of his or her medical practice. The committee, with the advice
the licensee and the office of professional medical conduct,
designate the facility or institution to conduct the clinical
examination. The results of the clinical competency examination shall
provided by the facility or institution to the committee, the
and the office of professional medical conduct. The licensee may
obtain an accredited facility or institution to conduct a
competency examination, the results of which shall be provided to
committee and the office of professional medical conduct.
* NB Effective November 3, 2008
8. Notwithstanding any other provision of law, no member
committee on professional conduct nor an employee of the board shall
liable in damages to any person for any action taken or
made by him within the scope of his function as a member of
committee or employee provided that (a) such member or employee
taken action or made recommendations within the scope of his
and without malice, and (b) in the reasonable belief after
investigation that the act or recommendation was warranted, based
the facts disclosed.
9. Notwithstanding any other provisions of law, neither
proceedings nor the records of any such committee shall be subject
disclosure under article thirty-one of the civil practice law and
except as hereinafter provided. No person in attendance at a meeting
any such committee shall be required to testify as to what
thereat. The prohibition relating to discovery of testimony shall
apply to the statements made by any person in attendance at
meeting who is a party to an action or proceeding the subject matter
which was reviewed at such meeting.
* 9-a. At any time, if the board for professional medical conduct
the office of professional medical conduct determines that there is
reasonable belief that a criminal offense has been committed by
licensee, the board for professional medical conduct or office
professional medical conduct shall notify the appropriate
the office of professional medical conduct determines that there
reasonable belief that an act or omission that constitutes a crime
the law of the state of New York, any other state, or the United
has been committed by the licensee, the board for professional
conduct or office of professional medical conduct shall notify
appropriate law enforcement official or authority.
10. Professional misconduct proceedings shall consist of:
** (a) Investigation. (i) The board for professional medical
by the director of the office of professional medical conduct,
investigate on its own any suspected professional misconduct, and
investigate each complaint received regardless of the source.
director of the office of professional medical conduct shall cause
preliminary review of every report made to the department pursuant
section twenty-eight hundred three-e as added by chapter eight
sixty-six of the laws of nineteen hundred eighty, sections twenty-
hundred five-l and forty-four hundred five-b of this chapter,
section three hundred fifteen of the insurance law, to determine if
report reasonably appears to reflect physician conduct
further investigation pursuant to this subparagraph.
(ii) If the investigation of cases referred to an
committee involves issues of clinical practice, medical experts,
be consulted. Experts may be made available by the state medical
of the state of New York, by county medical societies and
societies, and by New York state medical associations dedicated to
advancement of non-conventional medical treatments. Any
obtained by medical experts in consultations, including the names
licensees or patients, shall be confidential and shall not be
except as otherwise authorized or required by law.
* (iii) In the investigation of cases referred to an
committee, the licensee being investigated shall have an opportunity
be interviewed by the office of professional medical conduct in order
provide an explanation of the issues under investigation. The
may have counsel present. Providing an opportunity for such an
shall be a condition precedent to the convening of an
committee on professional misconduct of the board for
medical conduct. Within ninety days of any interview of the licensee,
investigation committee on professional conduct of the board
professional medical conduct shall be convened. The licensee shall
given written notice of issues identified subsequent to the
The licensee may submit written comments or expert opinion to the
of professional medical conduct at any time.
provide an explanation of the issues under investigation. Providing
opportunity for such an interview shall be a condition precedent to
convening of an investigation committee on professional misconduct
the board for professional medical conduct.
(A) At least twenty days before the interview, except as otherwise
forth herein, the licensee under investigation shall be given
notice of: (1) a description of the conduct that is the subject of
investigation; (2) the issues relating to the conduct that have
identified at the time of the notice; (3) the time frame of the
under investigation; (4) the identity of each patient whose contact
or care by the licensee is believed to be relevant to the
and (5) the fact that the licensee may be represented by counsel and
be accompanied by a stenographer to transcribe the proceeding. All
of transcription shall be paid by the licensee and a copy shall
provided to the department by the licensee within thirty days of
interview. The notice required by this subparagraph may be given
than twenty days before an interview in any case where the office
professional medical conduct anticipates that the commissioner will
summary action under subdivision twelve of this section, provided
the notice is given within a reasonable amount of time prior to
interview and advises of the possible summary action.
(B) Within thirty days following the interview or, in a case
stenographer was present at the interview, within fifteen days after
office of professional medical conduct receives the transcript of
interview, whichever is later, the licensee shall be provided
copy of the report of the interviewer. In addition, the licensee
promptly be given written notice of issues identified subsequent to
interview. The licensee may submit written comments or expert opinion
medical or scientific literature that is directly relevant to the
that have been identified by the office of professional medical
to the office of professional medical conduct at any time.
(C) If the director determines that the matter shall be submitted
an investigation committee, an investigation committee shall be
within ninety days of any interview of the licensee. The director
present the investigation committee with relevant
including, but not limited to: (1) a copy of the original complaint;
the report of the interviewer and the stenographic record if one
taken; (3) the report of any medical or scientific expert; (4) copies
reports of any patient record reviews; and (5) the
(D) If the director determines to close an investigation following
interview without presentation to an investigation committee, the
of professional medical conduct shall notify the licensee in writing.
* (iv) If the director of the office of professional medical
after obtaining the concurrence of a majority of an
committee, and after consultation with the executive
determines that a hearing is warranted the director shall,
fifteen days thereafter, direct counsel to prepare the charges. If
director determines after consultation with an investigation
that: (A) evidence exists of a single incident of negligence
incompetence, a pattern of inappropriate prescribing or
practice, or impairment by drugs, alcohol, physical or
disability; (B) a recommendation was made by a county medical society
the medical society of the state of New York that warrants
review; or (C) the facts underlying a verdict in a medical
action warrant further review, the director, in addition to
authority set forth in this section, shall be authorized to
comprehensive review of patient records of the licensee and such
records of the licensee as are related to said determination.
licensee shall cooperate with the investigation and willful failure
cooperate in a substantial or material respect may result in
enforcement proceeding pursuant to subparagraph (ii) of paragraph (o)
this subdivision. If there is a question of alcoholism, alcohol
drug abuse or mental illness, the director may refer the matter
committee, as referred to in subparagraph (ii) of paragraph (c)
subdivision eleven of this section.
investigation committee is unanimous in its concurrence that a
is warranted, the charges shall be made public under paragraph (d)
this subdivision. If the investigation committee is not unanimous in
concurrence that a hearing is warranted, the members of such
shall vote on whether the charges should be made public, and if all
the committee members vote in favor of publication, the charges shall
made public under paragraph (d) of this subdivision. If the
determines after consultation with an investigation committee that:
evidence exists of a single incident of negligence or incompetence,
pattern of inappropriate prescribing or medical practice, or
by drugs, alcohol, physical or mental disability; (B) a
was made by a county medical society or the medical society of the
of New York that warrants further review; or (C) the facts
underlying a
verdict in a medical malpractice action warrant further review,
director, in addition to the authority set forth in this section,
be authorized to conduct a comprehensive review of patient records
the licensee and such office records of the licensee as are related
said determination. The licensee shall cooperate with the
and willful failure to cooperate in a substantial or material
may result in an enforcement proceeding pursuant to subparagraph (ii)
paragraph (o) of this subdivision. If there is a question of
alcohol abuse, drug abuse or mental illness, the director may refer
matter to a committee, as referred to in subparagraph (ii) of
(c) of subdivision eleven of this section.
* (v) The files of the office of professional medical conduct
to the investigation of possible instances of professional
shall be confidential and not subject to disclosure at the request
any person, except as provided by law in a pending disciplinary
or proceeding. The provisions of this paragraph shall not prevent
office from sharing information concerning investigations within
department and, pursuant to subpoena, with other duly authorized
agencies responsible for professional regulation or
prosecution. Nothing in this subparagraph shall affect the duties
notification set forth in subdivision nine-a of this section.
notification set forth in subdivision nine-a of this section or
the publication of charges or of the findings,
determinations, or order of a hearing committee pursuant to
(d) or (g) of this subdivision. In addition, the commissioner
disclose the information when, in his or her professional
disclosure of such information would avert or minimize a public
threat. Any such disclosure shall not affect the confidentiality
other information in the files of the office of professional
conduct related to the investigation.
(vi) The office of professional medical conduct, acting under
section, may have access to the criminal history record of any
governed by the provisions of this section maintained by the division
criminal justice services pursuant to subdivision six of section
hundred thirty-seven of the executive law.
* (vii) The director of the office of professional medical conduct,
consultation with the patient safety center, shall cause a review on
continuous basis of medical malpractice claim and
information reported to the commissioner under section three
fifteen of the insurance law, for the purpose of identifying
misconduct. The office shall commence a misconduct investigation
potential misconduct is identified as a result of such review,
shall be based on criteria such as disposition frequency,
type including judgment and settlement, disposition award
geographic region, specialty, or other factors as appropriate
identifying potential misconduct.
** NB Effective until March 31, 2013
** (a) Investigation. The board for professional medical conduct,
committee on professional conduct, may investigate on its own
suspected professional misconduct, and shall investigate each
received regardless of the source. The results of the
shall be referred to the director of the office of professional
conduct. If the director of the office of professional medical
after consultation with a professional member of the board
professional medical conduct, determines that a hearing is warranted
shall direct counsel to prepare the charges within fifteen
thereafter. If it is determined by the director that the
involves a question of professional expertise then such director
seek, and if so shall obtain, the concurrence of at least two members
a panel of three members of the state board for professional
** NB Effective March 31, 2013
(b) Charges. The charges shall state the substance of the
professional misconduct and shall state clearly and concisely
material facts but not the evidence by which the charges are to
be proved.
* (c) Notice of hearing. The board shall set the time and place of
hearing. The notice of hearing shall state (1) the date, time and
of the hearing, (2) that the licensee shall file a written answer
each of the charges and allegations in the statement of charges no
than ten days prior to the hearing, that any charge and allegation
so answered shall be deemed admitted and that the licensee may wish
seek the advice of counsel prior to filing such answer, (3) that
licensee shall appear personally at the hearing and may be
by counsel, (4) that the licensee shall have the right to
witnesses and evidence in his behalf, to cross-examine witnesses
examine evidence produced against him, and to have subpoenas issued
his behalf to require the production of witnesses and evidence in
and form as prescribed by the civil practice law and rules or
party may issue such subpoenas in their own behalf, (5)
stenographic record of the hearing will be made, and (6) such
information as may be considered appropriate by the committee.
by counsel who shall be an attorney admitted to practice in New
state, (4) that the licensee shall have the right to produce
and evidence in his behalf, to cross-examine witnesses and
evidence produced against him, and to have subpoenas issued in
behalf to require the production of witnesses and evidence in manner
form as prescribed by the civil practice law and rules or either
may issue such subpoenas in their own behalf, (5) that a
record of the hearing will be made, and (6) such other information
may be considered appropriate by the committee.
* (d) Service of charges and of notice of hearing. A copy of
charges and the notice of the hearing shall be served on the
personally by the board at least twenty days before the hearing.
personal service cannot be made after due diligence and such fact
certified under oath, a copy of the charges and the notice of
shall be served by registered or certified mail to the licensee's
known address by the board at least fifteen days before the hearing.
* (d) Service of charges and of notice of hearing. (i) A copy of
personally by the board at least thirty days before the hearing.
(ii) The charges shall be made public, consistent with
(iv) of paragraph (a) of this subdivision, no earlier than five
days after they are served, and the charges shall be accompanied by
statement advising the licensee that such publication will
provided, however, that charges may be made public immediately
issuance of the commissioner's order in the case of summary action
pursuant to subdivision twelve of this section and no prior
of such publication need be made to the licensee.
(iii) If a hearing on the charges has not yet been conducted or
hearing has been conducted but the committee has not yet issued
determination, the publication of charges by the department
include a statement advising that the charges are only allegations
may be contested by the licensee in an administrative hearing,
that no such statement need be included if the licensee fails
affirmatively declines to contest the charges. In the event any or
such charges are dismissed, such dismissal shall be made public
* (d-1) Disclosure of exculpatory evidence. After service of
charges upon the licensee, counsel for the office of
medical conduct shall, as soon as practicable and on a continuing
provide the licensee with any information or documentation in
possession of the office of professional medical conduct which tends
prove the licensee's innocence.
(e) Committee hearing. The hearing shall be conducted by a
on professional conduct. The members of the hearing committee shall
appointed by the chairperson of the board who shall designate
committee chairperson. In addition to said committee members,
commissioner shall designate an administrative officer, admitted
practice as an attorney in the state of New York, who shall have
authority to rule on all motions, including motions to compel
of information or material claimed to be protected because of
or confidentiality, procedures and other legal objections and
draft the conclusions of the hearing committee pursuant to
(g). The administrative officer shall have the authority to rule
objections to questions posed by either party or the committee
The administrative officer shall not be entitled to vote.
(f) Conduct of hearing. All hearings must be commenced within
days of the service of charges except that an adjournment of the
hearing date may be granted by the hearing committee upon request
either party upon good cause shown. No adjournment shall exceed
days. The evidence in support of the charges shall be presented by
attorney. The licensee shall have the rights required to be stated
the notice of hearing (subparagraph (c) of this subdivision) and
section four hundred one of the state administrative procedure act.
committee shall not be bound by the rules of evidence, but
conclusion shall be based on a preponderance of the evidence. A
which has been initiated shall not be discontinued because of the
or incapacity to serve of one member of the hearing committee. In
event of a member's death or incapacity to serve on the committee,
member shall be appointed immediately by the chairperson of the
The member shall affirm in writing that he or she has read
considered evidence and transcripts of the prior proceedings. The
hearing day must be held within one hundred twenty days of the
hearing day. Either party, for good cause shown, may request that
committee extend the last hearing day beyond one hundred twenty days.
extension requested by the licensee and granted by the committee may
be used as the grounds for a proceeding brought under paragraph (j)
* (g) Results of hearing. The committee shall make (1) findings
fact, (2) conclusions concerning the charges sustained or dismissed,
(3) a determination regarding charges sustained or dismissed, and
the event any of the charges have been sustained, of the penalty to
imposed or appropriate action to be taken and the reasons for
determination. For the committee to make a conclusion
sustaining a
charge, or determining a penalty or the appropriate action to be
two members of the committee must vote for such a conclusion
determination. The committee shall issue an order based on
determination. The committee's findings, conclusions, determinations
order shall become public upon issuance in any case in which
suspension without stay or revocation of the licensee's license
(3) a determination regarding charges sustained or dismissed, and in
event any of the charges have been sustained, of the penalty to
determination. For the committee to make a conclusion sustaining
order shall become public upon issuance. However, if the time to
a review of the committee's determination has not yet expired, or if
review has been requested but no determination as a result of the
has been issued, such publication shall include a statement
that the licensee or the department may request a review of
committee's determination. No such statement is required if (a) the
to request such review has expired without the filing of such request
either of the parties, or (b) the licensee and the department
affirmatively decline to request review of the committee's
or fail to perfect such review. In the event any or all such charges
dismissed, such dismissal shall be made public within two business
* (h) Disposition of results. The findings, conclusions,
and the reasons for the determination of the committee shall be
upon the licensee, the department, and any hospitals, primary
settings or health care plans required to be identified in
disseminated physician data pursuant to paragraph (j), (n), or (q)
subdivision one of section twenty-nine hundred ninety-five-a of
chapter, within sixty days of the last day of hearing. Service shall
either by certified mail upon the licensee at the licensee's last
address and such service shall be effective upon receipt or seven
after mailing by certified mail whichever is earlier or by
service and such service shall be effective upon receipt. The
shall deliver to the board the license which has been revoked,
suspended or surrendered, together with the registration
within five days after receipt of the order. If the license
registration certificate is lost, misplaced or its whereabouts
otherwise unknown, the licensee shall submit an affidavit to that
and shall deliver such license or certificate to the board when
The director of the office shall promptly transmit a copy of the
to the division of professional licensing services of the
education department and to each hospital at which the licensee
* (h) Disposition of results. (i) The findings,
determination and the reasons for the determination of the
shall be served upon the licensee, the department, and any
primary practice settings or health care plans required to be
in publicly disseminated physician data pursuant to paragraph (j),
or (q) of subdivision one of section twenty-nine hundred ninety-
five-a
of this chapter, within sixty days of the last day of hearing.
shall be either by certified mail upon the licensee at the
last known address and such service shall be effective upon receipt
seven days after mailing by certified mail whichever is earlier or
personal service and such service shall be effective upon receipt.
licensee shall deliver to the board the license which has been
annulled, suspended or surrendered, together with the
certificate, within five days after receipt of the order. If the
or registration certificate is lost, misplaced or its whereabouts
(ii) When a license has been: (A) revoked or annulled without
pursuant to subdivision four or five of section two hundred thirty-a
this title; (B) surrendered by a licensee; (C) suspended without
for more than one hundred eighty days; or (D) restricted to prohibit
practice of medicine or to preclude the delivery of patient care,
licensee whose license has been so revoked, surrendered,
without stay, suspended without stay for more than one hundred
days, or restricted shall, within fifteen days of the effective date
(1) notify his or her patients, of the cessation or limitation of
licensee's medical practice; the names of other physicians or
care practitioners who have agreed to assume responsibility for
patient's care; that the patient should contact one of those
physicians or health care practitioners, or another physician or
care practitioner of the patient's choice, to determine the health
plans, as defined in sections four thousand nine hundred of
insurance law and forty-nine hundred of this chapter, in which
physician or health care practitioner participates and the polices
procedures of such physician or other health care practitioner; that
patient should notify the licensee of the name of the physician or
health care practitioner to whom the patient's medical records should
transferred; and that the licensee will retain, and remain
for the maintenance of the patient's medical records until the
provides notice that the records shall be transferred directly to
patient, consistent with the provisions of sections seventeen
eighteen of this chapter, or to another practitioner of the
choice. The licensee shall also notify each health care plan with
the licensee contracts or is employed, and each hospital where he or
has privileges in writing of the cessation or limitation of
licensee's medical practice. Within forty-five days of the
date of the order, the licensee shall provide the office of
medical conduct with proof, in a form acceptable to the director of
office of professional medical conduct, that all patients and
have been notified of the cessation or limitation of the
(2) make arrangements for the transfer and maintenance of the
records of his or her former patients. Records shall be
transferred to the licensee's former patients consistent with
provisions of sections seventeen and eighteen of this chapter or
another physician or health care practitioner as provided in clause
of this subparagraph who shall expressly assume responsibility for
care and maintenance and for providing access to such records,
provided in subdivisions twenty-two and thirty-two of section sixty-
hundred thirty of the education law, the rules of the board of
or the regulations of the commissioner of education and
seventeen and eighteen of this chapter. When records are not
to the licensee's former patients or to another physician or health
practitioner, the licensee whose license has been revoked,
surrendered, suspended or restricted shall remain responsible for
care and maintenance of the medical records of his or her
patients and shall be subject to additional proceedings pursuant
subdivisions twenty-two, thirty-two and forty of section sixty-
hundred thirty of the education law in the event that the licensee
to maintain those medical records or fails to make them available to
(3) notify the office of professional medical conduct of the
address, and telephone number of any physician or other health
practitioner who has agreed to accept responsibility for storing
maintaining these medical records.
(4) in the event that the licensee whose license has been
annulled, surrendered or restricted to prohibit the practice of
or to preclude the delivery of patient care holds a federal
Enforcement Agency (DEA) certificate, advise the DEA in writing of
licensure action, surrender his or her DEA controlled
privileges to the DEA, and surrender any unused DEA #222 U.S.
Order Forms, Schedules 1 and 2 to the DEA.
(5) for licensees whose license has been revoked,
surrendered or restricted to prohibit the practice of medicine or
preclude the delivery of patient care, return any unused New York
official prescription forms to the bureau of narcotics enforcement
the department. The licensee shall cause all other prescription
bearing the licensee's name to be destroyed. If no other licensee
providing services at the licensee's practice location, all
shall be properly disposed.
(6) for licensees whose license to practice has been
or to preclude the delivery of patient care, refrain from
advertising and make reasonable efforts to cease current advertising
which his or her eligibility to practice medicine is represented.
In addition to any other penalty provided for in law, failure
comply with the requirements of this subparagraph shall
misconduct that may be prosecuted pursuant to this section and which
subject the licensee to the imposition of additional penalties
to section two hundred thirty-a of this title.
(i) The determinations of a committee on professional conduct of
state board for professional medical conduct may be reviewed by
administrative review board for professional medical conduct.
(j) Time limitations. Failure to comply with a provision of
subdivision requiring that a specified action shall be taken within
specified period of time shall be grounds for a proceeding pursuant
article seventy-eight of the civil practice law and rules for an
staying the hearing or dismissing the charges or any part thereof or
other appropriate relief. Such proceeding shall be returnable before
supreme court of Albany county or New York county. The respondent
such proceeding shall have the initial burden to explain the reasons
the failure to comply with a provision of this subdivision
that a specified action to be taken within a specified period of
The court shall not stay the hearing or dismiss the charges or grant
other relief unless it determines that failure to comply was not
by the article seventy-eight petitioner and has caused
prejudice to the article seventy-eight petitioner.
(k) The executive secretary of the board with the specific approval
a committee on professional conduct of the board shall have the power
issue subpoenas requiring persons to appear before the board and
examined with reference to a matter within the scope of the inquiry
the investigation being conducted by the board and produce
papers, records or documents pertaining thereto.
(l) The board or its representatives may examine and obtain records
patients in any investigation or proceeding by the board acting
the scope of its authorization. Unless expressly waived by the
any information so obtained shall be confidential and shall not
disclosed except to the extent necessary for the proper function of
board and the name of the patient may not be disclosed by the board
its employees at any stage of the proceedings unless the patient
expressly consented. Any other use or dissemination by any person by
means, unless pursuant to a valid court order or otherwise provided
law, is prohibited.
(m) Expedited procedures. (i) Violations. Violations
professional misconduct of a minor or technical nature may be
by expedited procedures as provided in subparagraph (ii) or (iii)
this paragraph. For purposes of this paragraph violations of a minor
technical nature shall include, but shall not be limited to,
instances of violations concerning professional advertising or
keeping, and other isolated violations which do not directly affect
impair the public health, welfare or safety.
(ii) Administrative warning and consultation. If the director of
office of professional medical conduct, after obtaining the
of a majority of a committee on professional conduct, and
consultation with the executive secretary, determines that there
substantial evidence of professional misconduct of a minor or
nature or of substandard medical practice which does not
professional misconduct, the director may issue an
warning and/or provide for consultation with a panel of one or
experts, chosen by the director. Panels of one or more experts
include, but shall not be limited to, a peer review committee of
county medical society or a specialty board. Administrative warnings
consultations shall be confidential and shall not constitute
adjudication of guilt or be used as evidence that the licensee is
of the alleged misconduct. However, in the event of a further
of similar misconduct by the same licensee, the matter may be
and further proceedings instituted as provided in this section.
(iii) Violation committee proceeding. If the director
after obtaining the concurrence of a majority of a committee
professional conduct, and after consultation with the
secretary, that there is substantial evidence of a violation and
the violation is of a nature justifying a penalty as specified in
subparagraph the department may prepare and serve charges, either
personal service or by certified mail, return receipt
requested. A
violation committee proceeding shall be commenced within three years
the alleged professional misconduct. Such charges shall
statement that the matter shall be referred to a committee
professional conduct, which shall act as a violations committee
determination. The violations committee shall be appointed by
chairperson of the state board. Paragraph (c) of subdivision ten
this section shall apply to the proceeding. A stenographic record of
hearing shall be made. The evidence in support of the charges shall
presented by an attorney and the licensee shall be afforded
opportunity to be heard and to present evidence in his behalf.
violations committee may issue a censure and reprimand, may require
licensee to perform up to twenty-five hours of public service in
facility licensed pursuant to article twenty-eight of this chapter
manner and at a time and place directed by the board, and in
or in the alternative, may impose a fine not to exceed five
dollars for each specification of minor or technical misconduct.
violations committee may alternatively dismiss the charges in
interest of justice. The order shall be served either by certified
to the licensee's last known address and such services shall
effective upon receipt or seven days after mailing by certified
whichever is earlier or by personal service and such service shall
effective upon receipt. The order may be reviewed by the
appeals board for professional medical conduct.
(n) Engagement. A proceeding under this section shall be treated
the same manner as an action or proceeding in supreme court for
purpose of any claim by counsel of actual engagement.
(o) Orders for review of medical records. Where the director
issued an order for a comprehensive medical review of patient
and office records pursuant to subparagraph four of paragraph (a)
this subdivision and the licensee has refused to comply with
director's order, the director may apply to a justice of the
court, in writing, on notice to the licensee, for a court order
compel compliance with the director's order. The court shall not
the application unless it finds that (i) there was a reasonable
for issuance of the director's order and (ii) there is reasonable
to believe that the records sought are relevant to the director's
The court may deny the application or grant the application in whole
(p) Convictions of crimes or administrative violations. In cases
professional misconduct based solely upon a violation of
nine of section sixty-five hundred thirty of the education law,
director may direct that charges be prepared and served and may
the matter to a committee on professional conduct for its review
report of findings, conclusions as to guilt, and determination. In
cases, the notice of hearing shall state that the licensee shall
written answer to each of the charges and allegations in the
of charges no later than ten days prior to the hearing, and that
charge or allegation not so answered shall be deemed admitted, that
licensee may wish to seek the advice of counsel prior to filing
answer that the licensee may file a brief and affidavits with
committee on professional conduct, that the licensee may
personally before the committee on professional conduct, may
represented by counsel and may present evidence or sworn testimony
his or her behalf, and the notice may contain such other information
may be considered appropriate by the director. The department may
present evidence or sworn testimony and file a brief at the
hearing. A
stenographic record of the hearing shall be made. Such evidence or
testimony offered to the committee on professional conduct shall
strictly limited to evidence and testimony relating to the nature
severity of the penalty to be imposed upon the licensee. Where
charges are based on the conviction of state law crimes in
jurisdictions, evidence may be offered to the committee which would
that the conviction would not be a crime in New York state.
committee on professional conduct may reasonably limit the number
witnesses whose testimony will be received and the length of time
witness will be permitted to testify. The determination of the
shall be served upon the licensee and the department in accordance
the provisions of paragraph (h) of this subdivision. A
pursuant to this subdivision may be reviewed by the
review board for professional medical conduct.
* (q) At any time subsequent to the final conclusion of a
misconduct proceeding against a licensee, whether upon the
and order of a hearing committee issued pursuant to paragraph (h)
this subdivision or upon the determination and order of
administrative review board issued pursuant to paragraph (d)
subdivision four of section two hundred thirty-c of this title,
licensee may file a petition with the director, requesting vacatur
modification of the determination and order. The director shall,
reviewing the matter and after consulting with department
determine in the reasonable exercise of his or her discretion
there is new and material evidence that was not previously
which, had it been available, would likely have led to a
result, or whether circumstances have occurred subsequent to
original determination that warrant a reconsideration of the measure
discipline. Upon determining that such evidence or circumstances
the director shall have the authority to join the licensee in
application to the chairperson of the state board for
medical conduct to vacate or modify the determination and order, as
director may deem appropriate. Upon the joint application of
licensee and the director, the chairperson shall have the authority
grant or deny such application.
11. Reporting of professional misconduct:
(a) The medical society of the state of New York, the New York
osteopathic society or any district osteopathic society, any
medical specialty society or organization, and every county
society, every person licensed pursuant to articles one
thirty-one, one hundred thirty-one-B, one hundred thirty-three,
hundred thirty-seven and one hundred thirty-nine of the education
and the chief executive officer, the chief of the medical staff and
chairperson of each department of every institution which is
pursuant to article twenty-eight of this chapter and a
health services plan pursuant to article forty-four of this chapter
article forty-three of the insurance law, shall, and any other
may, report to the board any information which such person,
society, organization institution or plan has which reasonably
to show that a licensee is guilty of professional misconduct as
in sections sixty-five hundred thirty and sixty-five hundred thirty-
of the education law. Such reports shall remain confidential and
not be admitted into evidence in any administrative or
proceeding except that the board, its staff, or the members of
committees may begin investigations on the basis of such reports and
use them to develop further information.
(b) Any person, organization, institution, insurance
osteopathic or medical society who reports or provides information
the board in good faith, and without malice shall not be subject to
action for civil damages or other relief as the result of such
(c) Notwithstanding the foregoing, no physician shall be
for reporting pursuant to paragraph (a) of this subdivision with
to any information discovered by such physician solely as a result
(i) Participation in a properly conducted mortality and/or
conference, departmental meeting or a medical or tissue
constituted pursuant to the by-laws of a hospital which is
established pursuant to article twenty-eight of the public health
unless the procedures of such conference, department or committee
such hospital shall have been declared to be unacceptable for
purpose hereof by the commissioner, and provided that the obligations
reporting such information when appropriate to do so shall be
responsibility of the chairperson of such conference, department
committee, or
* (ii) Participation and membership during a three year
period in a physician committee of the Medical Society of the State
New York or the New York State Osteopathic Society whose purpose is
confront and refer to treatment physicians who are thought to
suffering from alcoholism, drug abuse or mental illness.
demonstration period shall commence on April first, nineteen
eighty and terminate on May thirty-first, nineteen hundred eighty-
An additional demonstration period shall commence on June
nineteen hundred eighty-three and terminate on March thirty-
nineteen hundred eighty-six. An additional demonstration period
commence on April first, nineteen hundred eighty-six and terminate
March thirty-first, nineteen hundred eighty-nine. An
demonstration period shall commence April first, nineteen
eighty-nine and terminate March thirty-first, nineteen
ninety-two. An additional demonstration period shall commence
first, nineteen hundred ninety-two and terminate March thirty-
nineteen hundred ninety-five. An additional demonstration period
commence on April first, nineteen hundred ninety-five and terminate
March thirty-first, nineteen hundred ninety-eight. An
ninety-eight and terminate on March thirty-first, two thousand three.
additional demonstration period shall commence on April first,
thousand three and terminate on March thirty-first, two
thirteen; provided, however, that the commissioner may
requirements for the continuation of such demonstration
including periodic reviews of such programs and submission of
reports and data necessary to permit such reviews. During
additional periods, the provisions of this subparagraph shall also
to a physician committee of a county medical society.
* NB Expires March 31, 2013
(d) In the event that a physician or administrator of a
established pursuant to article twenty-eight of this chapter
reasonably be unable to determine if any information which he or she
is such that it does reasonably appear to show that a licensee is
of professional misconduct and therefore creates an obligation on
physician or such administrator to make a report pursuant to
(a) hereof, he or she may either:
(i) in accordance with procedures established by the board,
without revealing the name of the licensee who he or she is
making such a report about, request in writing the advice of the
as to whether or not a report should be made, and the physician
administrator so requesting such advice shall then be required to
with the advice of the board. No such request for advice shall
the requesting physician or administrator of any obligation
unless all other material facts are revealed, other than the name of
licensee in question, or
(ii) in the case where the licensee about whom another physician
considering making such report is affiliated with a hospital which
duly established pursuant to article twenty-eight of this
chapter, a
physician may elect to fulfill the obligations of paragraph (a)
by reporting such information to the appropriate executive committee
professional practices peer review committee which is duly
pursuant to by-laws of such hospital, unless the peer review
of such hospital shall have been declared to be unacceptable for
purposes hereof by the commissioner. The physician members of
hospital executive committee or professional practices peer
committee shall thereupon have the responsibility of reporting
information to the board pursuant to paragraph (a) hereof, as
thereby, but in the event that such committee determines that a
shall be made to the board, the chairperson of such committee
fulfill the obligation of reporting on behalf of all the members of
(iii) in a case where the physician, about whom he or she
considering making such report, is a member of a county medical
or district osteopathic society, and is not affiliated with a
but practices his or her profession within such county or
by reporting such information to the appropriate county
society's or district osteopathic society's professional
review committee duly constituted pursuant to the by-laws of such
medical society or district osteopathic society, unless the
procedures of such county medical society or district
society shall have been declared to be unacceptable for the
hereof by the commissioner. The physician members of such
(e) Nothing contained in this subdivision shall be so construed as
require any physician to violate a physician/patient privilege
therefore, no physician shall be required to report any information
the board which such physician has learned solely as a result
rendering treatment to another physician.
(f) A violation of this subdivision shall not be subject to
provisions of sections twelve and twelve-b of this chapter.
* (g) Any physician committee of the Medical Society of the State
New York, the New York State Osteopathic Society or a county
society referred to in subparagraph (ii) of paragraph (c) of
subdivision shall develop procedures in consultation with, and
by, the commissioner of the department of health, including but
(i) The committee shall disclose at least once a month
information as the director of the office of professional
conduct may deem appropriate regarding reports received, contacts
investigations made and the disposition of each report, provided
that the committee shall not disclose any personally
information except as provided in subparagraph (ii) or
(iii) of this paragraph.
(ii) The committee shall immediately report to the director the
all information obtained and the results of any contact or
regarding any physician who is believed to be an imminent danger to
(iii) The committee shall report to the director in a timely
all information obtained regarding any physician who refuses
cooperate with the committee, refuses to submit to treatment, or
impairment is not substantially alleviated through treatment.
(iv) The committee shall inform each physician who is participating
a program of the procedures followed in the program, of the rights
responsibilities of the physician in the program and of the
results of noncompliance with the program.
** (v) No member of any such committee shall be liable for damages
any person for any action taken by such member provided that such
was taken without malice and within the scope of such member's
as a member of such committee.
** (vi) The committee, in conjunction with the director of the
of professional medical conduct, shall develop appropriate consent
and disclosure proceedings as may be necessary under any
statute, rule or regulation in order to permit the disclosure of
information as may be required under subparagraphs (ii) and (iii)
Except as herein provided and notwithstanding any other provision
law, neither the proceedings nor the records of any such
committee shall be subject to disclosure under article thirty-one of
civil practice law and rules nor shall any member of any such
nor any person in attendance at any such meeting be required to
as to what transpired thereat.
** NB Repealed March 31, 2013
12. Summary action. * (a) Whenever the commissioner, after
investigation and a recommendation by a committee on
conduct of the state board for professional medical conduct, based
a determination that a licensee is causing, engaging in or
condition or activity which in the commissioner's opinion constitutes
imminent danger to the health of the people, and that it
appears to be prejudicial to the interests of the people to delay
until an opportunity for a hearing can be provided in accordance
the prehearing and hearing provisions of this section, the
may order the licensee, by written notice, to discontinue such
condition or activity or take certain action immediately and
period of ninety days from the date of service of the order. Within
days from the date of service of the said order, the state board
professional medical conduct shall commence and regularly schedule
hearing proceedings as required by this section, provided, however,
the hearing shall be completed within ninety days of the date of
of the order. To the extent that the issue of imminent danger can
proven without the attorney representing the office of
medical conduct putting in its entire case, the committee of the
shall first determine whether by a preponderance of the evidence
licensee is causing, engaging in or maintaining a condition or
which constitutes an imminent danger to the health of the people.
attorney representing the office of professional medical conduct
have the burden of going forward and proving by a preponderance of
evidence that the licensee's condition, activity or practice
an imminent danger to the health of the people. The licensee shall
an opportunity to be heard and to present proof. When both the
and the licensee have completed their cases with respect to the
of imminent danger, the committee shall promptly make a
to the commissioner on the issue of imminent danger and
whether the summary order should be left in effect, modified or
and continue the hearing on all the remaining charges, if any,
accordance with paragraph (f) of subdivision ten of this section.
ten days of the committee's recommendation, the commissioner
determine whether or not to adopt the committee's recommendations,
whole or in part, and shall leave in effect, modify or vacate
summary order. The state board for professional medical conduct
make every reasonable effort to avoid any delay in completing
determining such proceedings. If, at the conclusion of the hearing,
the hearing committee of the board finds the licensee guilty of one
more of the charges which are the basis for the summary order, (ii)
hearing committee determines that the summary order continue, and
the ninety day term of the order has not expired, the summary
shall remain in full force and effect until a final decision has
rendered by the committee or, if review is sought, by the
review board. A summary order shall be public upon issuance.
* (a) Whenever the commissioner, (i) after being presented
information indicating that a licensee is causing, engaging in
maintaining a condition or activity which has resulted in
transmission or suspected transmission, or is likely to lead to
transmission, of communicable disease as defined in the state
code or HIV/AIDS, by the state and/or a local health department and
in the commissioner's opinion it would be prejudicial to the
of the people to delay action until an opportunity for a hearing can
provided in accordance with the prehearing and hearing provisions
this section; or (ii) after an investigation and a recommendation by
committee on professional conduct of the state board for
medical conduct, based upon a determination that a licensee is
engaging in or maintaining a condition or activity which in
commissioner's opinion constitutes an imminent danger to the health
the people, and that it therefore appears to be prejudicial to
interests of the people to delay action until an opportunity for
hearing can be provided in accordance with the prehearing and
provisions of this section; the commissioner may order the licensee,
written notice, to discontinue such dangerous condition or activity
take certain action immediately and for a period of ninety days from
date of service of the order. Within ten days from the date of
of the said order, the state board for professional medical
shall commence and regularly schedule such hearing proceedings
required by this section, provided, however, that the hearing shall
completed within ninety days of the date of service of the order. To
extent that the issue of imminent danger can be proven without
in its entire case, the committee of the board shall first
whether by a preponderance of the evidence the licensee is
engaging in or maintaining a condition or activity which constitutes
imminent danger to the health of the people. The attorney
the office of professional medical conduct shall have the burden
going forward and proving by a preponderance of the evidence that
licensee's condition, activity or practice constitutes an
danger to the health of the people. The licensee shall have
opportunity to be heard and to present proof. When both the office
the licensee have completed their cases with respect to the question
imminent danger, the committee shall promptly make a recommendation
the commissioner on the issue of imminent danger and determine
the summary order should be left in effect, modified or vacated,
continue the hearing on all the remaining charges, if any, in
with paragraph (f) of subdivision ten of this section. Within ten
of the committee's recommendation, the commissioner shall
whether or not to adopt the committee's recommendations, in whole or
part, and shall leave in effect, modify or vacate his summary order.
state board for professional medical conduct shall make every
effort to avoid any delay in completing and determining
proceedings. If, at the conclusion of the hearing, (i) the
committee of the board finds the licensee guilty of one or more of
charges which are the basis for the summary order, (ii) the
committee determines that the summary order continue, and (iii)
ninety day term of the order has not expired, the summary order
remain in full force and effect until a final decision has been
by the committee or, if review is sought, by the administrative
board. A summary order shall be public upon issuance.
(b) When a licensee has pleaded or been found guilty or convicted
committing an act constituting a felony under New York state law
federal law, or the law of another jurisdiction which, if
within this state, would have constituted a felony under New York
law, or when the duly authorized professional disciplinary agency
another jurisdiction has made a finding substantially equivalent
finding that the practice of medicine by the licensee in
jurisdiction constitutes an imminent danger to the health of its
or when a licensee has been disciplined by a duly
professional disciplinary agency of another jurisdiction for acts
if committed in this state would have constituted the basis for
action by the commissioner pursuant to paragraph (a) of
subdivision, the commissioner, after a recommendation by a committee
professional conduct of the state board for professional
conduct, may order the licensee, by written notice, to discontinue
refrain from practicing medicine in whole or in part or to take
actions authorized pursuant to this title immediately. The order of
commissioner shall constitute summary action against the licensee
become public upon issuance. The summary suspension shall remain
effect until the final conclusion of a hearing which shall
within ninety days of the date of service of the commissioner's
end within ninety days thereafter and otherwise be held in
with paragraph (a) of this subdivision, provided, however, that when
commissioner's order is based upon a finding substantially equivalent
a finding that the practice of medicine by the licensee in
the hearing shall commence within thirty days after the
proceedings in that jurisdiction are finally concluded.
13. (a) Temporary surrender. The license and registration
licensee who may be temporarily incapacitated for the active practice
medicine and whose alleged incapacity has not resulted in harm to
patient may be voluntarily surrendered to the board for
medical conduct, which may accept and hold such license during
period of such alleged incapacity or the board for professional
conduct may accept the surrender of such license after agreement
conditions to be met prior to the restoration of the license. The
shall give prompt written notification of such surrender to the
of professional licensing services of the state education
and to each hospital at which the licensee has privileges. The
whose license is so surrendered shall notify all patients and
persons who request medical services that the licensee has
withdrawn from the practice of medicine. The licensure status of
such licensee shall be "inactive" and the licensee shall not
authorized to practice medicine. The temporary surrender shall not
deemed to be an admission of disability or of professional
and shall not be used as evidence of a violation of subdivision seven
eight of section sixty-five hundred thirty of the education law
the licensee practices while the license is "inactive". Any
practice shall constitute a violation of subdivision twelve of
sixty-five hundred thirty of the education law. The surrender
license under this subdivision shall not bar any disciplinary
except action based solely upon the provisions of subdivision seven
where no harm to a patient has resulted, and shall not bar any civil
criminal action or proceeding which might be brought without regard
such surrender. A surrendered license shall be restored upon a
to the satisfaction of a committee of professional conduct of the
board for professional medical conduct that the licensee is
incapacitated for the active practice of medicine provided,
that the committee may impose reasonable conditions on the licensee,
it determined that due to the nature and extent of the licensee's
incapacity such conditions are necessary to protect the health of
people. The chairperson of the committee shall issue a restoration
adopting the decision of the committee. Prompt written notification
such restoration shall be given to the division of
licensing services of the state education department and to
hospitals which were notified of the surrender of the license.
(b) Permanent surrender. The license and registration of a
who may be permanently incapacitated for the active practice
medicine, and whose alleged incapacity has not resulted in harm to
patient, may be voluntarily surrendered to the board for
medical conduct. The board shall give prompt written notification
such surrender to the division of professional licensing services of
state education department, and to each hospital at which the
has privileges. The licensee whose license is so surrendered
notify all patients and all persons who request medical services
the licensee has permanently withdrawn from the practice of
The permanent surrender shall not be deemed to be an admission
disability of or professional misconduct, and shall not be used
evidence of a violation of subdivision seven or eight of
sixty-five hundred thirty of the education law. The surrender shall
bar any civil or criminal action or proceeding which might be
without regard to such surrender. There shall be no restoration of
license that has been surrendered pursuant to this subdivision.
14. Reports. The board shall prepare an annual report for
legislature, the governor and other executive offices, the
profession, medical professional societies, consumer agencies and
interested persons. Such report shall include, but shall not be
to, a description and analysis of the administrative procedures
operations based upon a statistical summary relating to (i)
(ii) complaint, investigation, and hearing backlog and (iii)
Information provided for these sections shall be enumerated by
office of the office of professional medical conduct.
* 15. The commissioner shall make grants to any physician committee
referred to in subparagraph (ii) of paragraph (c) of subdivision
of this section to fund the operations of such committee during
authorized demonstration period. Grants shall be awarded pursuant to
expenditure plan developed by the sponsoring organization
consultation with, and approved by the commissioner. No funds shall
made available unless the committee's procedures have been approved
the commissioner pursuant to paragraph (g) of subdivision eleven of
* NB Repealed March 31, 2013
* 16. Liability. Notwithstanding any other provision of law,
who assist the department as consultants, expert witnesses or
in the investigation or prosecution of alleged professional
licensure matters, restoration proceedings, probation, or
prosecutions for unauthorized practice, shall not be liable for
in any civil action or proceeding as a result of such assistance,
upon proof of actual malice. The attorney general shall defend
persons in any such action or proceeding, in accordance with
seventeen of the public officers law.
who assist the department as consultants, expert
administrative officers or monitors in the investigation, prosecution
hearing of alleged professional misconduct, licensure
restoration proceedings, probation, or criminal prosecutions
unauthorized practice, shall not be liable for damages in any
action or proceeding as a result of such assistance, except upon
of actual malice. The attorney general shall defend such persons in
such action or proceeding, in accordance with section seventeen of
17. Monitoring. (a) A licensee may be ordered to have his or
practice monitored by another appropriate licensee after
and review pursuant to paragraph (a) of subdivision ten of this
if there is reason to believe that the licensee is unable to
medicine with reasonable skill and safety to patients.
(b) The director of the office of professional medical conduct,
consultation with the executive secretary, shall direct counsel
prepare a notice detailing the reasonable cause and a copy of the
shall be served on the licensee. The matter shall be presented
committee on professional conduct by an attorney for the department
the licensee shall have the opportunity to be heard by such
and may be represented by counsel. A stenographic record of
proceeding shall be made. Service of the notice shall be in
with the methods of service authorized by paragraph (d) of
ten of this section.
(c) If the committee determines that reasonable cause exists
specified in paragraph (a) of this subdivision and that there
insufficient evidence for the matter to constitute misconduct as
in sections sixty-five hundred thirty and section sixty-five
thirty-one of the education law, the committee may issue an
directing that the licensee's practice of medicine be monitored
period specified in the order, which shall in no event exceed one
by a licensee approved by the director, which may include members
county medical societies or district osteopathic societies designated
the commissioner. The licensee responsible for monitoring the
shall submit regular reports to the director. If the licensee refuses
cooperate with the licensee responsible for monitoring or if
monitoring licensee submits a report that the licensee is not
medicine with reasonable skill and safety to his or her patients,
committee may refer the matter to the director for further
pursuant to subdivision ten of this section. An order pursuant to
paragraph shall be kept confidential and shall not be subject
discovery or subpoena, unless the licensee refuses to comply with
(d) A licensee may not seek the appointment of a monitor pursuant
this subdivision in lieu of an order issued pursuant to
seven of this section or a disciplinary proceeding pursuant
subdivision ten or twelve of this section.
18. (a) The director shall have the authority to monitor
physician's assistants and specialist's assistants who have been
on probation pursuant to a determination of professional misconduct
the board. During such period of probation, the director, or his or
designee, as provided in the order of the board, and after
with the executive secretary, (i) may review the
performance of the licensee by randomly selecting office
patient records and hospital charts, (ii) may require periodic visits
the licensee to a member of the state board for professional
conduct or an employee of the office of professional medical
(iii) may require the licensee to obtain an appropriate
approved by the director, to monitor the licensee's practice, (iv)
require an audit of the licensee's billings for services rendered
probation, (v) may require the licensee to submit on a random basis
tests for the presence of alcohol or drugs, (vi) may require
licensee to obtain additional training prior to completion of
probation, (vii) may require the licensee to work in a
setting, (viii) may require, as a condition of the licensee's
practice, that the licensee undergo therapy and/or treatment
and monitored by the director, (ix) may require that the licensee
with the requirements of the penalty imposed, and (x) may impose
the licensee such additional requirements as reasonably relate to
misconduct found or are necessary to protect the health of the
pursuant to regulation. The director is authorized to delegate some
all of the foregoing responsibilities to designated county
societies and district osteopathic societies.
(b) Any health care provider licensed pursuant to this chapter or
education law, hospital licensed pursuant to article twenty-eight
this chapter or medical school that participates in a monitoring
remediation program pursuant to this subdivision and
seventeen of this section shall not be liable for the negligence of
monitored licensee in providing medical care pursuant to a
program. However, this paragraph does not diminish the
provider's, hospital's or school's liability for failure to
reasonable care in properly carrying out its responsibilities under
program. The monitored licensee shall be required to maintain
malpractice insurance coverage with limits no less than two
dollars per occurrence and six million dollars per policy year.
19. Upon receipt of information that indicates a licensee may be
violation of the terms or conditions of probation, the director of
office of professional medical conduct shall conduct an
If the director determines that a licensee may have violated
the director shall give notice by letter to the licensee of the
forming the basis of the alleged violation of probation by the
that the licensee has a right to a hearing and may be represented
counsel. If the licensee does not dispute the facts forming the basis
the alleged violation of probation within twenty days of the date of
letter, the director shall submit the matter to a committee
professional conduct for its review and determination. If within
days of the date of the letter, the licensee disputes any of the
forming the basis of the alleged violation of probation, the
shall be afforded a hearing before a committee on professional
to hear and make findings of fact, conclusions of law and
determination. A stenographic record of the hearing shall be made.
committee, after providing a licensee with an opportunity to be
shall determine whether the licensee has violated probation and
impose an appropriate penalty as defined in section two hundred
thirty-a
of this title. In determining the appropriate penalty, the
shall consider both the violation of probation and the
adjudication of misconduct. The chairperson of the committee shall
an order adopting the decision of the committee on professional
The order may be reviewed by the administrative review board
professional medical conduct.
* § 230-a. Penalties for professional misconduct. The penalties
may be imposed by the state board for professional medical conduct on
present or former licensee found guilty of professional misconduct
the definitions and proceedings prescribed in section two hundred
of this title and sections sixty-five hundred thirty and sixty-
hundred thirty-one of the education law are:
1. Censure and reprimand;
** 2. Suspension of license, (a) wholly, for a fixed period of
(b) wholly, except to the limited extent required for the licensee
successfully complete a course of retraining; (c) wholly, until
licensee successfully completes a course of therapy or
prescribed by the board; (d) partially, until the licensee
completes a course of retraining in the area to which the
applies; (e) partially, for a specified period;
** NB Effective until November 3, 2008
prescribed by the board; (d) wholly, until the licensee
rehabilitation to the satisfaction of the board; (e) wholly, until
licensee complies with the terms or conditions of a board order;
partially, until the licensee successfully completes a course
retraining in the area to which the suspension applies; (g)
for a specified period or until the licensee complies with the terms
conditions of a board order;
** NB Effective November 3, 2008
3. Limitation of the license to a specified area or type of
4. Revocation of license;
5. Annulment of license or registration;
6. Limitation on registration or issuance of any further license;
7. A fine not to exceed ten thousand dollars upon each
of charges of which the respondent is determined to be guilty;
8. A requirement that a licensee pursue a course of education
9. A requirement that a licensee perform up to five hundred hours
public service in a manner and at a time and place as directed by
board. The board may stay such penalties in whole or in part or
the licensee on probation with or without imposition of one of
penalties provided pursuant to this section. Any fine imposed
to this section or pursuant to paragraph (m) of subdivision ten
section two hundred thirty of this title may be sued for and
in the name of the people of the state of New York in an action
by the attorney general. In such action, the findings,
and order of the board shall be admissible evidence and shall
conclusive proof of the violation and the penalty assessed.
* NB There are 2 § 230-a's
* § 230-a. Infection control standards. Notwithstanding any law to
contrary, including section sixty-five hundred thirty-two of
education law, the department shall promulgate rules or
describing scientifically accepted barrier precautions and
control practices as standards of professional medical conduct
persons licensed under articles one hundred thirty-one and one
thirty-one-B of the education law. The department shall consult with
education department to ensure that regulatory standards
scientifically acceptable barrier precautions and infection
techniques promulgated pursuant to this section are consistent, as
as appropriate with such standards adopted by the education
applicable to persons licensed under the education law other
articles one hundred thirty-one and one hundred thirty-one-B of
§ 230-b. Disciplinary proceedings for physician's assistants
specialist's assistants. Disciplinary proceedings involving
assistants and specialist's assistants shall be conducted in
with the provisions of section two hundred thirty of this title.
§ 230-c. Administrative review board for professional medical
1. There is hereby created an administrative review board
professional medical conduct for the purpose of reviewing
of committees on professional conduct of the state board
professional medical conduct. The review board may not
commissioner's summary order under subdivision twelve of section
hundred thirty of this title.
2. The review board shall consist of five members of the
appointed by the governor with the consent of the senate. Three of
members of the review board shall be physicians from the board
professional medical conduct. Two of the members of the review
shall be lay members from the board for professional medical
The chairperson shall assign appropriate staff to assist the
3. All members shall serve three year terms, provided that two of
initial appointments shall serve for a term of two years and one of
initial appointments shall serve for one year.
4. Filing and determination of review. (a) The determinations
medical conduct may be reviewed by the administrative review board
professional medical conduct. Either the licensee or the department
seek a review. A notice of review must be served by certified mail
the administrative review board and the adverse party within
days of service of the determination of the committee on
conduct of the state board for professional medical conduct.
hundred thirty of this title and the penalty in any case in
annulment, suspension without stay or revocation of the
license is ordered by the committee on professional conduct shall
in effect until the review board renders its determination. Any
imposed by the order of the committee on professional medical
other than a penalty of annulment, suspension without stay
revocation, is stayed by the service of the notice of review upon
administrative review board and remains stayed until the review
renders its determination. All parties have thirty days from
service of the notice of review to submit briefs to the board. A
of review shall be perfected only if a brief is timely submitted.
parties shall have seven days from the receipt of the submitted brief
file a response. All reviews shall consist of a review of the record
the hearing and submitted briefs only. A written determination of
review board must be rendered within forty-five days of the
of briefs and a stipulated record.
(b) The review board shall review whether or not the determination
the penalty are consistent with the findings of fact and conclusions
law and whether or not the penalty is appropriate and within the
of penalties permitted by section two hundred thirty-a of this
The review board shall have the authority to remand a case to
committee on professional conduct for reconsideration or
(c) All determinations shall be based upon a majority concurrence
the administrative review board.
(d) The administrative review board shall issue an order based
the determination of the administrative review board. Such order
be served on all parties by certified mail.
5. Judicial review. An order of the administrative review board
professional medical conduct or a determination of a committee in
no review by the administrative review board was requested may
reviewed pursuant to the proceedings under article seventy-eight of
civil practice law and rules. Such proceeding shall be returnable
the appellate division of the third judicial department and
decisions shall not be stayed or enjoined except upon application
such appellate division after notice to the department and to
attorney general and upon a showing that the petitioner has
substantial likelihood of success. Failure to seek an order of
administrative review board shall not be grounds for dismissal of
§ 230-d. Office-based surgery. 1. The following words or phrases,
used in this section shall have the following meanings:
(a) "Accredited status" means the full accreditation
nationally-recognized accrediting agency(ies) determined by
(b) "Adverse event" means (i) patient death within thirty days;
unplanned transfer to a hospital; (iii) unscheduled hospital
within seventy-two hours of the office-based surgery, for longer
twenty-four hours; or (iv) any other serious or life-threatening
(c) "Deep sedation" means a drug-induced depression of
during which (i) the patient cannot be easily aroused but
purposefully following repeated painful stimulation; (ii) the
ability to maintain independent ventilatory function may be
impaired;
(iii) the patient may require assistance in maintaining a patent
and spontaneous ventilation may be inadequate; and (iv) the
cardiovascular function is usually maintained without assistance.
(d) "General anesthesia" means a drug-induced depression
consciousness during which (i) the patient is not arousable, even
painful stimulation; (ii) the patient's ability to maintain
ventilatory function is often impaired; (iii) the patient, in
cases, often requires assistance in maintaining a patent airway
positive pressure ventilation may be required because of
spontaneous ventilation or drug-induced depression of
function; and (iv) the patient's cardiovascular function may
(e) "Moderate sedation" means a drug-induced depression
consciousness during which (i) the patient responds purposefully
verbal commands, either alone or accompanied by light
stimulation; (ii) no interventions are required to maintain a
airway; (iii) spontaneous ventilation is adequate; and (iv)
patient's cardiovascular function is usually maintained
(f) "Minimal sedation" means a drug-induced state during which
patients respond normally to verbal commands; (ii) cognitive
and coordination may be impaired; and (iii) ventilatory
cardiovascular functions are unaffected.
(g) "Minor procedures" means (i) procedures that can be
safely with a minimum of discomfort where the likelihood
complications requiring hospitalization is minimal; (ii)
performed with local or topical anesthesia; or (iii) liposuction
removal of less than 500 cc of fat under unsupplemented
(h) "Office-based surgery" means any surgical or other
procedure, requiring general anesthesia, moderate sedation, or
sedation, and any liposuction procedure, where such surgical or
invasive procedure or liposuction is performed by a licensee in
location other than a hospital, as such term is defined in
twenty-eight of this chapter, excluding minor procedures and
requiring minimal sedation.
(i) "Licensee" shall mean an individual licensed or
authorized under articles one hundred thirty-one or one
thirty-one-B of the education law.
* 2. Licensee practices in which office-based surgery is
shall obtain and maintain full accredited status.
* NB Effective July 14, 2009
* 3. A licensee may only perform office-based surgery in a
that has obtained and maintains full accredited status.
4. Licensees shall report adverse events to the department's
safety center within one business day of the occurrence of such
event. Licensees shall also report any suspected health care
transmission originating in their practices to the patient safety
within one business day of becoming aware of such
transmission. For purposes of this section, health care
transmission shall mean the transmission of a reportable
disease that is blood borne from a health care professional to a
or between patients as a result of improper infection control
by the health care professional. The reported data shall be subject
all confidentiality provisions provided by section twenty-nine
ninety-eight-e of this chapter.
5. The commissioner shall make, adopt, promulgate and enforce
rules and regulations, as he or she may deem appropriate, to
the purposes of this section. Where any rule or regulation under
section would affect the scope of practice of a health care
licensed, registered or certified under title eight of the education
other than those licensed under articles one hundred thirty-one or
hundred thirty-one-B of the education law, the rule or regulation
be made with the concurrence of the commissioner of education.
see https://www.health.ny.gov/regulations/public_health_law/section/230/docs/230.pdf
[this information is current to the best of our knowledge as of 2/14]
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