2007 Annual Conference Professional Discipline Ruby E. Brice, J.D. S.C. Department of Labor, Licensing and Regulation

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


Steps in a Disciplinary Action

• Initial Complaint• Investigation• Formal Complaint• Informal Disposition• Formal Hearing• Sanction• Judicial Review


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.


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.


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


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


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.


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.


Informal Disposition of Complaints

• Advantages of Informal Disposition

• Disposition by Correspondence• Consent Order• Settlement• The Board’s Role in Informal

Dispositions


The Formal Hearing• Format:• Hearing Officer• Panel• Full Board

• Issues:• Confidentiality• Recusal• Taint


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


Forms of Evidence

• Oral testimony• Documentary evidence• Visual, physical, illustrative

evidence• Admissions• Facts officially noted


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.


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


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


Judicial Review• Remands to Board


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;



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.



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.


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.


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]

Documents

2007 Annual Conference Professional Discipline Ruby E. Brice, J.D. S.C. Department of Labor, Licensing and Regulation