What to Do When a State Regulatory Board Representative Shows Up or Calls Unannounced

To avoid confusion and missteps when a representative from a state regulatory board arrives at your practice or calls unexpectedly, it’s advisable to have a plan ready. You can foresee an occurrence like this, no matter how unwelcome. A clear written policy should be established to handle these unannounced interruptions. Designate and adequately train a staff member to respond to these situations, guiding in-person and phone encounters.

What to Do

• Contact your professional liability insurance provider and consult with legal counsel. This should be your top priority. If you are a DentistCare policyholder, call our highly experienced Claims team right away for help navigating this situation.
• Be courteous, but do not respond immediately to their requests or questions, no matter how urgent the situation may feel. Remain steadfast and measured.
• Politely request that they arrange a time and date for a return call or visit, regardless of any documents provided that claim to require “immediate" action.
• Formulate an up-front response, for example: “Our office policy requires that we contact legal counsel before taking any action on requests of this type.” Announcing this policy is not “hindering” an investigation or “failing to cooperate”.
• Provide notice to the practice entity/employer/owner, if applicable.

What Not To Do

• Do not feel pressured or compelled to provide an opinion or response on the spot.
• Do not offer an “opinion” until you have consulted with counsel and/or others you may be obligated to provide notice to under specific contractual obligations you have to the practice entity/employer/owner, if applicable.
• Do not feel compelled to appease or please anyone at the expense of your legal rights or those of the practice entity, employer, or owner, if applicable.

Your Ultimate Responsibility
Remember, as a dentist, patient care is your primary responsibility, and you are not required to respond to an unannounced inquiry or visit if it interferes with your duty to your patients. Avoid engaging in rushed patient care or delaying those waiting for treatment simply because you feel pressured to comply immediately. A board representative should fully understand this crucial obligation to your patients. Before responding in any way, consider and be aware of your contractual obligations to the practice entity/employer/owner and your authority under those agreements, if applicable. 

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Disclaimer: The information contained on the DentistCare Blog does not establish a standard of care, nor does it constitute legal advice. The information is for general informational purposes only. We encourage all blog visitors to consult with their personal attorneys for legal advice, as specific legal requirements may vary from state to state. Links or references to organizations, websites, or other information is for reference use only and do not constitute the rendering of legal, financial, or other professional advice or recommendations. All information contained on the blog is subject to change.