The ABO generally will not investigate personal complaints regarding ABO Diplomates. There are instances, however, when complaints contain facts or allegations which, if substantiated, may indicate that the Diplomate is not in compliance with certification or recertification requirements. The ABO may consider and investigate such complaints. In such circumstance, the ABO will conduct a confidential inquiry, with the knowledge and cooperation of those concerned, including the complainant and the Diplomate, and take appropriate action.

This policy and the procedures set forth below apply to complaints regarding ABO Diplomates and orthodontists applying for, or in the process of examination to obtain, ABO certification. (hereinafter, collectively, the "Diplomates") It also pertains to orthodontists who misrepresent themselves as ABO Diplomates (hereinafter, termed the "Non-diplomate").

A. Filing a Complaint

Any person concerned about the qualifications of a Diplomate of the American Board of Orthodontics ("ABO") or a Non-diplomate may submit a complaint to the ABO. The ABO will consider and investigate those complaints containing substantiated allegations which, if proven, may demonstrate noncompliance with ABO certification or recertification requirements.

THE ABO WILL NOT INTERVENE ON BEHALF OF AN INDIVIDUAL COMPLAINANT REGARDING MATTERS OF PERSONAL OR PROFESSIONAL DISAGREEMENT WITH A DIPLOMATE. THE ABO WILL INVESTIGATE COMPLAINTS ONLY WHERE THE COMPLAINT INDICATES POSSIBLE NONCOMPLIANCE WITH CERTIFICATION OR RECERTIFICATION REQUIREMENTS.

The steps to follow in filing a complaint with ABO are as follows:

1. The ABO will not take any action based on an anonymous complaint.
   
   
2. A complaint may be made orally. However, an oral complaint must be followed by a signed written complaint within 30 days. A written complaint should include as much information and detail as possible about the circumstances that form the basis of the complaint and include, wherever possible, documentation of the alleged offense.
   
   
3. If a written complaint indicates circumstances which, if substantiated, may indicate that a Diplomate has not complied with certification or recertification requirements, or that a Non-diplomate has claimed to be certified by the ABO, the ABO may request that additional written substantiation be provided within 60 days from the date of the written complaint. Such substantiation might include corroborating letters or other documentation not previously provided to the ABO by the complainant.
   
   
4. The ABO shall attempt to maintain the confidentiality of the complainant, substantiators, and the Diplomate or Non-diplomate against whom the complaint is made. However, the ABO cannot, and does not, guarantee such confidentiality.
   
   
5. The ABO will attempt to maintain the confidentiality of substantiating materials, except in the following circumstances:
   
   
   1. Any allegations or information about a Diplomate or Non-diplomate may be released to the Diplomate or Non-diplomate, the Directors of the ABO, their respective attorneys, and other persons authorized by the Diplomate or Non-diplomate, required by law, or necessary, in the discretion of ABO, to fully investigate the matter.
      
      
   2. The identity of complainants or substantiators will be released only if the Diplomate or Non-diplomate challenges the allegations and/or the submitted corroborative materials. The complainant and any substantiators will be required to sign an authorization to release the written complaint and substantiating materials to the Diplomate or non-diplomate, the Directors of ABO, their respective attorneys, and appropriate outside parties.
      
      
6. If an oral complaint is not followed up within 30 days by a written complaint, or if a written complaint is not substantiated within 60 days, the file will be closed and no further action will be taken by ABO. The file may be reopened at the discretion of ABO.

B. Investigation Procedure

1. If a substantiated complaint does not raise issues relating to compliance with certification or recertification requirements, ABO will notify the complainant that the complaint is beyond the purview of ABO.
   
   
2. If a substantiated complaint raises issues relating to compliance with certification or recertification requirements, ABO will notify the Diplomate or Non-Diplomate of the complaint and of the allegations. Upon request, the Diplomate or Non-diplomate will be provided copies of all substantiation materials within fourteen (14) days of the received request. The Diplomate or Non-Diplomate also may be requested to answer specific questions or provide other information, documentation, or materials. Following official notification of the allegations, the Diplomate or Non-diplomate will be requested to provide written response to the allegations within 30 days.
   
   
3. The ABO staff will conduct a confidential investigation of substantiated complaints indicating that a Diplomate or Non-diplomate has not complied with certification or recertification requirements.

C. Review Procedure

1. The ABO staff will present the findings of the investigation, which may or may not include recommendations for action, to the ABO Review Panel at the next regularly scheduled meeting of the Panel occurring not less than 60 days after the complaint and substantiation are received by the ABO. If the investigation has not been completed by the time of such meeting, the ABO staff will present a progress report.
   
   
2. If the Review Panel determines that sufficient evidence does not exist to indicate noncompliance with certification or recertification requirements, it will close the matter and report the same in a timely manner to the complainant and the Diplomate or Non-diplomate.
   
   
3. If the Review Panel determines that sufficient evidence exists to indicate noncompliance with certification or recertification requirements, it may request additional information to further investigate the matter. In such circumstance, the complainant will be notified that the ABO is investigating the matter. The complainant will not be notified of the outcome of the investigation or of any action taken by the ABO as a result.
   
   
4. If the ABO's action is adverse to the Diplomate or Non-diplomate, that individual may submit a written appeal within 30 days after receiving notification of the ABO's action. Any such appeal will be handled according to the procedures set forth in the ABO's Appeal Process for Adverse Certification Decisions.

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