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2007 Annual Conference
Professional DisciplineRuby E. Brice, J.D.
S.C. Department of Labor, Licensing and Regulation
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
The Disciplinary Process
Use of Administrative Hearings Nature of Proceeding Role of the Board Participants Jurisdiction of the Board
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Steps in a Disciplinary Action
• Initial Complaint• Investigation• Formal Complaint• Informal Disposition• Formal Hearing• Sanction• Judicial Review
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Steps in the Enforcement Process
• Intake – Receiving and acknowledging complaints, setting up files and initiating complaint tracking.
• Assessment – Screening complaints; determining the type of response appropriate for the complaint; determining jurisdiction. In cases of perceived immediate public risk statute may permit immediate suspension of registration.
• Investigation – Assigning an investigator or investigative teams for determining the details of the case and producing a final report.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Steps in the Enforcement Process
• Review – Determining the disposition of investigated complaints: those without merit, closed; those with merit, a determination of the level of action to be taken.
• Formal and Informal Resolution – Informal resolution by stipulated agreement; or Formal Hearings – formal resolution by hearings before the board or administrative law judge.
• Final Orders – Determining facts, legal conclusions and sanctions in appropriate cases.
• Compliance – Following up on all final orders to assure the orders are being obeyed.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Practitioner Misconduct
Misconducts may include but are not limited to:
• Direct physical harm to a client
• Abuse of a client
• Improper advertising
• Failure to provide access to records
• Failure to keep records as required
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Practitioner Misconduct
• Falsification of records
• Failure to maintain Standards of Practice
• Failure to comply with the Code of Conduct
• Falsifying financial records
• Practicing the profession while mentally incompetent
• Practicing the profession while impaired
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Mental or Physical Impairment
Appropriate mental and/or physical evaluations be completed to ensure that the board has complete information on which to base their decisions in these cases.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Chemical ImpairmentThe process of drug impairment in regulated professionals typically progresses along a continuum from use, to misuse, to abuse, to dependency on a chemical substance. A regulatory authority should be careful in determining if a licensee’s drug activity is for legitimate reasons, and not interfering with competent performance.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Informal Disposition of Complaints
• Advantages of Informal Disposition
• Disposition by Correspondence• Consent Order• Settlement• The Board’s Role in Informal
Dispositions
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
The Formal Hearing• Format:• Hearing Officer• Panel• Full Board
• Issues:• Confidentiality• Recusal• Taint
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Rights of the Parties
• Right to Appear and Be Heard• Right to Present Evidence• Right to Cross Examine Witnesses• Right to Be Accompanied and
Advised by Counsel• Right to a Fair and Impartial
Hearing• Right to Judicial Review
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Forms of Evidence
• Oral testimony• Documentary evidence• Visual, physical, illustrative
evidence• Admissions• Facts officially noted
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Making the DecisionFact Finding Function: Determine the Facts Solely on
Evidence Submitted at the Hearing Determine whether the facts
support the ChargesConclusion of Law: Determine Whether the Charges are
a Violation of the Relevant Law or Rule.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Determining Sanctions
• The Nature/Circumstances of Offense• The Severity of the Allegations• The Number of Times Incident
Occurred• The Length of Time Over Which
Behavior Occurred• The Licensee’s Motivation for Action• Public Injury/Harm• The Protection of the Public• The Standards of the Profession
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Types of Disciplinary Actions Include
• Dismissal• Revocation• Suspension or Other Restriction of the
License• Surrender• Probation• Censure/Public Reprimand• Requirement of Additional
Education/Supervision• Administrative Fine• Cease and Desist• Restitution
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Judicial Review• Remands to Board
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Characteristics of a Strong Enforcement
ProcessPublicize their existence and role in handling
consumer complaints. Options include:
• Toll-free complaint lines;
• Information brochure with wide distribution;
• Notices about where and how to file complaints posted in all licensed professionals’ offices;
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Characteristics of a Strong Enforcement
Process• Public service TV and radio ads;
• Speeches by board members to community associations;
• Coordination of publicity/consumer information with local consumer groups;
• Including complaint filing information in statute and/or rules.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Characteristics of a Strong Enforcement
ProcessDevelop a well-organized complaint handling process.
Establish appropriate periods of time for notice and for investigative review.
Observe due process.
Specify the reasons for which the board may take disciplinary actions.
Consider ways to establish internal consistency with regard to charges and sanctions.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Receiving and Sharing Information
The board should make provisions through the practice act to receive information from professional associations, professional review organizations (PROs), hospitals, clinics or other institutions in which a licensee performs professional services, on possible chemical abuse, or incompetent or unethical behavior within a specified time. Circulate notice of sanctions taken by the board to other licensing jurisdictions.
Council on Licensure, Enforcement and RegulationAtlanta, Georgia2007 Annual Conference
Speaker Contact Information
Ruby E. Brice, JDAssistant Deputy DirectorOffice of Health and Medically Related ProfessionsS.C. Department of Labor, Licensing and
Regulations110 Centerview DriveColumbia, SC 29210(803) 896-4724 – Office(803) 896-4719 – [email protected]