The American Board of Orthodontics ("ABO") may, but shall have no obligation to, consider, investigate and evaluate any information which, in its judgment, may affect an orthodontist's compliance with ABO requirements, policies and procedures. Such information also may, at the ABO's sole discretion, be referred to an outside body for further investigation and action.

A. Irregular Behavior

1. During an Examination

The performance of all orthodontists taking an examination will be monitored. Examiners, proctors, or test center personnel will notify the ABO of any examinee who appears to give or receive assistance, or otherwise engage in dishonest or other irregular behavior during the examination.

Irregular behavior shall include, but not be limited to (1) misrepresentation of patient records as true and original when they have, in fact, been materially altered; (2) presentation of one or more cases for which the examinee has not personally provided the diagnosis and treatment, and/or submission of a false affidavit indicating personal care by the examinee; (3) use of a case that previously has been presented to the Board at a Clinical Exam by the same, or another, examinee.

Any orthodontist who engages in, or assists another individual to engage in, cheating or other dishonest or other irregular behavior, or otherwise violates the security of an examination, may be subject to disciplinary action, including denial or revocation of eligibility or certification. Any individual who engages in such improper behavior also may be subject to legal action.

2. After an Examination

Any orthodontist who removes or attempts to remove materials from the test center, or reproduces, distributes, displays or otherwise misuses a test question or any part of a test question from an examination, or assists another individual to do any of the above, may be subject to disciplinary action, including denial or revocation of eligibility or certification. Any individual who engages in such improper behavior also may be subject to legal action.

3. At Any Time

Any orthodontist who is found to be in violation of the Code of Professional Conduct and Ethics of the American Board of Orthodontics, or who obtains, attempts to obtain, or assists another person to obtain or attempt to obtain, eligibility, certification or recertification by deceptive means, including but not limited to submitting or assisting another person to submit to the ABO any application, patient record(s), case presentation, affidavit, or other document which contains a material misstatement of fact or omits to state a material fact, may be subject to disciplinary action, including denial or revocation of eligibility or certification. Any individual who engages in such improper behavior also may be subject to legal action.

B. Fraudulent Credentials

Any orthodontist who manufacturers, modifies, reproduces, distributes or uses a fraudulent or otherwise unauthorized ABO certificate or other document; otherwise falsely claims to be certified by ABO; or assists another individual to do any of the above; may be subject to disciplinary action, including denial or revocation of eligibility or certification. Any individual who engages in such improper behavior also may be subject to legal action.

C. Legal, Regulatory, or Credentialing Action

1. Automatic Revocation

The ABO will automatically deny or revoke an orthodontist's eligibility or certification if the ABO Review Panel determines that the orthodontist is the subject of any of the following:

• Adjudication by a court that the orthodontist is mentally incompetent.
  
  
• Conviction of or pleading no contest to a felony that is, in the view of the ABO, related to orthodontic practice.
  
  
• Revocation of the orthodontist's license to practice dentistry, or orthodontics if such license is granted, due to behavior that is, in the view of the ABO, related to orthodontic practice.

2. Discretionary Denial, Revocation or Suspension

The ABO may, at its discretion, deny, suspend or revoke an orthodontist's eligibility or certification if the ABO Review Panel determines that the orthodontist is the subject of any of the following:

• Conviction of or pleading no contest to a felony.
  
  
• Revocation of the orthodontist's license to practice dentistry, or orthodontics if such license is granted.
  
  
• Documented evidence of gross incompetence or unethical conduct.

1. The ABO Review Panel shall consist of three current ABO Directors. No more than one shall be a member of the Executive Committee.
   
   
2. If it comes to the attention of any Director or staff member of the ABO that an orthodontist may have engaged in irregular behavior, may have manufactured or utilized fraudulent ABO credentials or otherwise fraudulently held himself or herself out as being certified by the ABO, or was the subject of a legal, regulatory or credentialing action, the Director or staff member shall promptly notify the Chair of the Review Panel of such allegations.
   
   
3. The Chair of the Review Panel, or his or her delegate, shall make a reasonable effort to determine the facts of the matter. If it is determined that there is a reasonable basis to believe that the allegations are true, ABO shall issue a written notice to the orthodontist about the allegations and about possible disciplinary actions which may be taken by the ABO. The notice shall inform the orthodontist that he or she has the right, within 30 days, to submit a written response to the allegations and/or to request a telephone interview with, or a personal appearance before, the Review Panel.
   
   
4. If the orthodontist does not receive any notice or notices from ABO related to the disciplinary proceedings due to his or her failure to notify ABO of a change of address, that lack of notification shall not be considered as the basis for reconsideration or appeal of any decision in the matter.
   
   
5. If the orthodontist requests a telephone interview with, or a personal appearance before, the Review Panel, he or she shall be given 30 days written notice of the place, date and time of the interview. During the interview or appearance, the orthodontist shall be given a full opportunity to discuss, explain, and attempt to refute the allegations made against him or her.
   
   
6. The Review Panel shall review all of the documentation submitted concerning the matter. The Review Panel also may, at its discretion, request or receive, and review, additional information. The foregoing shall constitute the Review Record. A copy of the Review Record shall be forwarded to the orthodontist at least ten calendar days before the meeting of the Review Panel.
   
   
7. Based on its review of the Review Record, and the orthodontist's statement during the interview or appearance, if any, the Review Panel shall, determine which, if any, disciplinary action is appropriate under the circumstances.
   
   If the Review Record demonstrates circumstances requiring automatic revocation, the Review Panel shall revoke the orthodontist's certification.
   
   If the Review Record does not demonstrate circumstances requiring automatic revocation, the Review Panel shall determine whether one or more of the following disciplinary actions is appropriate:
   
   
   1. order the orthodontist to retake an examination at a time and place and in a format to be determined by the Review Panel;
      
      
   2. refuse to release the score of the orthodontist and, thereby, deny his or her current application for certification or recertification;
      
      
   3. require the orthodontist to wait a specified period of time before reapplying to take an ABO examination;
      
      
   4. deny or revoke an orthodontist's certification;
      
      
   5. suspend or revoke the orthodontist's eligibility to sit for future examinations; or
      
      
   6. take a combination of any of the above actions or such other action that the Review Panel may deem appropriate in the particular circumstances before it.
   
   The Review Panel also may recommend to the ABO Board of Directors that legal action be taken.
   
   
8. Disciplinary actions are subject to appeal pursuant to the ABO's Appeal Process for Adverse Decisions Affecting Certification.
   
   
9. After a final adverse disciplinary decision has been reached, the ABO will notify any state licensing authority with which the orthodontist holds a license of the adverse disciplinary decision and the underlying facts thereof.
   
   
10. Applications following disciplinary action shall be governed by the following policies:
    
    
    1. An orthodontist whose eligibility or certification has been denied or revoked by the ABO for a specified time period based on irregular behavior or fraudulent credentials may reapply to the ABO following expiration of such time period.
       
       
    2. An orthodontist whose eligibility or certification has been denied or revoked by the ABO based on a legal, regulatory or credentialing action may reapply to the ABO when the situation underlying the ABO's decision has been remedied. If the decision was based on conviction of or pleading no contest to a felony, the individual may not apply for certification until all sentences have been served and, unless the Review Panel grants an exception, until all judgments have been satisfied. If the decision was based on revocation of licensure or authorization to practice, though it is not necessary for the license or authorization itself to be restored, the individual may not apply for certification until the situation underlying the licensure or authorization revocation has been remedied.
       
       
    3. Action on all applications following denial or revocation - except in such cases where the period of revocation is specified - shall be at the discretion of the Review Panel.

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