Alabama Administrative Code Chapter 630-X-3 — Complaints and Disciplinary Action Against Licensed Optometrists

630 Alabama Board of Optometry

Ala. Admin. Code r. 630-X-3-.01 Complaints

Complaints against licensed optometrists for unprofessional, unethical, or illegal conduct and complaints against any other person who may be accused of violating any provision of this act shall be filed with the executive director or other specified agent of the Board in writing and under oath. Said complaints must set out in detail the charge(s) against the accused person and shall contain a telephone number at which the person registering the complaint can be reached by telephone. Upon receipt of a complaint, the executive director or the Board's legal counsel shall verify the complaint by making a telephone call to the complainant at the number listed in the complaint. During the telephone call, the executive director or legal counsel shall seek details not set out in the complaint and shall make a memorandum thereof. In the event a complaint filed with the Board does not conform to the regulations set out above, the complainant shall be advised in writing by the Board of the proper procedure as set out herein. The Board shall take no action on a complaint until it complies with the procedure set out herein. Any person may file a complaint but if a member or agent of the Board shall file a complaint, said member or agent shall not participate in any hearing (other than to offer evidence), determination, or sanction of the charge(s) in said complaint.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §34-22-8.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.02 Notification Of Accused Person

Upon receipt of a complaint conforming to the requirements of Rule 630-X-3- .01, the executive director or Board legal counsel shall forward a letter to the accused person advising said person of the complaint and enclosing therewith a copy of the written complaint, any memorandum made during the telephone interview with the complainant, and a copy of this chapter of the Board regulations. The letter shall invite the accused person to respond within 15 days to the complaint in writing under oath. The letter to the accused person and the written response of the accused person shall be forwarded by certified mail, a common carrier approved by the Board, or by electronic mail with return receipt requested.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, § 34-22-8.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.03 Failure Of Accused Person To Respond

If, at the expiration of 15 days after receipt by the accused person of the letter and other materials required by Rule 630-X-3-.02 above, the accused person has not responded to the complaint in writing under oath, said person shall be deemed to have declined to respond. The executive director or the Board’s attorney shall have the authority to grant a one-time extension of up to fourteen (14) days upon the request of the accused person. The Board may grant such further or other extensions as it may deem appropriate.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, § 34-22-8.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.04 Preliminary Investigation By Board

Whether the accused person responds or does not respond to the complaint, the Board shall conduct such further discreet preliminary investigation as the Board deems necessary under the circumstances to determine whether there is probable cause to believe that a violation has occurred.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, § 34-22-8.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.05 Confidentiality

Unless, and until, a hearing is set by the Board, as hereinafter provided, the Board and each member or agent thereof shall keep the charges and all matters relating thereto completely confidential, and shall release no information in connection therewith to any person other than the Board or an agent thereof, the accused, or the accused's legal counsel, if any. Hearings held on formal charges filed as provided for hereinafter for the purpose of considering the discipline of an individual subject to regulation by the Alabama Board of Optometry, or to discuss the general reputation and character, physical condition, professional competence, or mental health of licensees shall be held in executive session, where allowed for by the Alabama Open Meetings Act. All record of proceedings held in executive session, including evidence admitted during said hearing, shall be held confidential and shall not be open to public inspection. The charging instrument setting out the formal charges and the final order of the Board shall be public record.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, § 34-22-8.
• Filed July 9, 1990. Amended: filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.06 Determination By Board Of Justification Of Charge

After receipt of the complaint, the response of the accused person, and completion of the preliminary investigation specified in Rule 630-X-3-.04, the Board shall meet in executive session with its legal counsel and determine whether or not probable cause exists to believe that conduct on the part of the accused person has occurred which would warrant disciplinary action if established by evidence. If a member or agent of the Board filed the complaint to be considered, said member or agent shall take no part in the executive session specified above except to the extent of giving testimony in connection to the charge. If the Board determines that no probable cause exists, that the complaint does not describe conduct which is within the jurisdiction of the Board to discipline, or is otherwise frivolous, the Board shall take no further action. The minutes of the meeting shall reflect that a charge was considered and found insufficient to justify a hearing, and no mention of the name of the accused person or complainant shall appear in said minutes. In that event, the accused person and the complainant shall be so notified in writing by the Board or an agent thereof. If, on the other hand, after considering all matters before it, the Board finds that probable cause exists to believe that a violation has occurred which would warrant disciplinary action if established by the evidence, then the Board shall cause formal charges to be filed against the accused person and adopt a resolution setting a date, time, and place for a hearing on the said charges. The hearing shall be held either within the city of Montgomery, Alabama or in the county in which the accused person resides. At its discretion, the Board may adopt proposed sanctions for inclusion in the notice to the accused.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §§34-22-8, 34-22-42(3).
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.07 Responsibility Of Legal Counsel Of Board

Service of the notice of charge may be made by personal service upon the accused by forwarding to the accused person via United States certified mail with return receipt requested addressed to the accused's last recorded mailing address, by common carrier approved by the Board with a return receipt requested addressed to the accused's last recorded mailing address, or by electronic mail at his or her last electronic mail address of record with delivery receipt requested. However, if the accused person shall not be a resident of Alabama or shall have departed from the state of Alabama, then notice of the date, time, and place of such hearing shall be published in a newspaper of general circulation in the county where said accused person shall have been last known to reside, one (1) time, at least three (3) weeks prior to the hearing, setting out the date, time, and place of the hearing. Service of notice of such charges shall constitute commencement of a contested case under the Alabama Administrative Procedures Act.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §§ 34-22-8, 34-22-42(10), 41-22-12.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.08 Answer Of Accused Person To Specification of Charges

Within twenty (20) days of the service of the notice of the charge, and at least five (5) days prior to the time set for hearing, the accused person shall either

(1) enter into an agreement stipulating to the facts set out in the notice of charge(s) to the satisfaction of the Board and consenting to the proposed sanctions, if any, or

(2) file with the Board a written answer to the charges admitting or denying each allegation. If the accused person fails to file a written answer to the charges within the time set out above, said accused shall be deemed to have denied each and every allegation contained in the charge.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §§ 34-22-8, 41-22-12.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule entitled "Answer of Accused Licensee to Specification of Charges" filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.09 Discovery

At least thirty (30) days prior to the date of the hearing, the Board's legal counsel and the accused person shall each prepare a list of the names and post office addresses of any witnesses from whom each intends to elicit testimony at the hearing on the charges.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §§ 34-22-8, 41-22-12.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.10 Subpoenas for Documents and Board Records

At least fifteen (15) days prior to the date set for hearing, the accused or the Board’s counsel shall file with the Board a list of the names and post office addresses of witnesses which the accused desires to be subpoenaed for the hearing along with a designation of any books, records, papers, or other documents to be produced by said witnesses. At the same time, the accused shall file with the Board a list of any books, records, papers or other documents in possession of the Board which the accused desires to use in the hearing, and the same shall be produced at the hearing by the Board without the necessity of a subpoena. Upon the proper filing of the requested subpoenas, the Board shall issue a subpoena for the witnesses and a subpoena duces tecum.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §§ 34-22-8, 34-22-42(9).
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.

Ala. Admin. Code r. 630-X-3-.11 Hearing: Rules Of Procedure

At the date, time, and place previously set for the hearing, the Board shall convene and proceed to hear the charges under the following rules of procedure:

(a) A quorum of the Board must be present at all times during the hearing and only those Board members present for the entire hearing shall vote upon action of the Board at the conclusion of the hearing. The president shall preside or in his or her absence the normal progression to the chair shall be followed. However, if a member or agent of the Board shall have filed the complaint of charges under consideration at said hearing, then that member or agent of the Board shall not participate in the hearing other than to offer evidence as a witness.

(b) The Board's legal counsel shall first present witnesses and other evidence in support of the charges specified. The accused person or counsel thereof shall have the full and free right to cross-examine all witnesses testifying against the accused.

(c) Upon conclusion of all witnesses and other evidence presented by the Board's counsel, the accused person or counsel thereof shall present witnesses and other evidence in the accused's defense to the charges specified. The Board's counsel shall have the full and free right to cross- examine such witnesses.

(d) Upon conclusion of testimony presented by witnesses called for the accused's defense, the Board's counsel shall have the opportunity to offer rebuttal witnesses and testimony.

(e) The rules of evidence as applied in nonjury civil cases in the circuit courts of the state shall be followed. When necessary to ascertain facts not reasonably susceptible of proof under those rules, evidence not admissible thereunder may be admitted (except where precluded by statute) if it is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs. The president of the Board shall rule on all evidentiary and procedural matters, which rulings shall be the act of the Board unless challenged at the said hearing by any member of the Board. Any such challenge shall be resolved by majority vote of the Board.

(f) If a subpoenaed witness fails to appear, the party subpoenaing the witness may present to the opposing party a written statement of what the witness would testify to if present and, if agreed upon by the other party, the statement shall be given the same weight as if the witness had testified in person. If any subpoenaed witness fails to appear, refuses to be sworn, refuses to be examined, or refuses to produce any book, record, paper, or other document as ordered by the Board, such facts shall be certified by the Board to the circuit court or the judge thereof in the county where such witness resides for action by such court or judge as is provided by law. Unless a written statement is submitted and agreed to for any such witness as provided above, upon motion of the party subpoenaing the witness, the hearing shall be continued for appropriate action with reference to such witness by the circuit court or judge of the county wherein he or she resides.

(g) The Board shall have the hearing proceedings recorded either by audio recording or by a court reporter. If the accused person desires a transcript of the recorded proceedings, the expense of said transcript shall be borne by the accused person.

(h) Upon completion of all evidence, the Board's counsel and the accused person or counsel thereof shall have the opportunity of presenting closing arguments to the Board as follows: Board's counsel first, accused person or counsel thereof second, and then Board's counsel shall close.

(i) Upon conclusion of all evidence and arguments, the Board shall proceed, in executive session, to deliberate the charges and evidence submitted in connection therewith. If a member or agent of the Board shall have filed the complaint of charges under consideration, then said member or agent shall not participate in the deliberation of charges specified above or the vote thereon. Any and all votes of the Board relative to the charges shall be taken in open session following deliberation. If a majority of the quorum of members of the Board conducting the hearing shall find that there is not substantial evidence to support the charge, then the Board shall forthwith and within thirty (30)days enter an order dismissing the charges. If, on the other hand, a majority of the quorum of members of the Board conducting the hearing shall find that the charge(s) are of merit and proven to their satisfaction, then the Board shall, within 30 days of the hearing's conclusion, render a final order consistent with Code of Ala. 1975, SS 41-22- 15, 41-22-16, which sections are adopted herein by reference.

(j) In all cases of suspension or revocation of licenses, fines, or of other disciplinary sanctions imposed by the Board as provided for by law, the accused person may appeal only to the circuit court of Montgomery County, Alabama. In all cases of suspension or revocation of licenses, the order specifying such sanction shall contain instructions relating the methods and requirements for reinstatement of said licenses. Except as may otherwise be provided herein to the contrary, judicial review of the orders and decisions of the Board shall be governed by the provisions of Code of Ala. 1975, S 41-22-20, which section is adopted herein by reference.

(k) Members of the Board of Optometry, any optometrists impaneled by the Board, and any optometrist or other individual making any report or rendering any opinion or supplying any evidence or information or offering any testimony to the Board in connection with a disciplinary investigation or proceeding as authorized in this chapter shall be immune from suit for any conduct with respect to such investigations, actions, hearings, and proceedings.

History

• Author: Wallace D. Mills
• Authority: Code of Ala. 1975, §§34-22-8, 41-22-13, 41-22-16, 41-22-20.
• Filed July 9, 1990. Amended: Filed August 28, 1995; effective October 2, 1995. Amended: Published September 30, 2025; effective November 14, 2025.
• Editor's note: Previous rule (same title) filed September 13, 1982. Repealed: Filed July 9, 1990.