An Audit Report on Complaint Processing and Enforcement at the Board of Pharmacy
June 2008
Report Number 08-035
Overall Conclusion
The Board of Pharmacy (Board) imposes sanctions and disciplines licensees and registrants in accordance with state laws and regulations. Some sanctions require monitoring to ensure that the licensee complies with the terms of a disciplinary order. The Board has processes in place to monitor compliance with Board-ordered disciplinary actions.
The Board closed 4,980 complaints in fiscal year 2007. Of these, 648 (13.0 percent) resulted in a disciplinary action, such as revocation or suspension of the license or other sanctions.
The number of complaints processed by the Board has increased significantly since fiscal year 2003. The Board began registering pharmacy technicians in fiscal year 2004 and began registering pharmacy technician trainees in fiscal year 2007. The Board received 1,935 complaints in fiscal year 2003 and 5,849 complaints in fiscal year 2007-a 200 percent increase.
The Board's complaint handling process prioritizes the assignment and investigation of complaints relative to the seriousness of the allegations. The Board followed this process.
However, auditors identified some areas for improvement. Specifically:
- The Board did not obtain fingerprints to access criminal histories of applicants. The Texas Administrative Code requires the Board to obtain fingerprints from pharmacist applicants, from pharmacy technician and pharmacy technician trainee applicants, and from pharmacy intern applicants.
- The Board's process for conducting background checks does not ensure that it identifies all criminal offenses committed by licensees and registrants.
- The Board did not meet its statutory due dates for responding to and communicating with complainants regarding the receipt and status of their complaints.
- The Board did not adequately document reviews of complaint information or retain supporting documentation for the complaints that auditors reviewed.
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