Disciplinary actions, complaint process, and enforcement
How a complaint travels
Anyone can complain: a client, a family member, an employer, a colleague, or the licensee themselves. The complaint goes to the Board and the PLA, and investigation is typically handled with the Attorney General's office, which can subpoena records and interview witnesses. The Board then dismisses, resolves by agreed order, or sets the matter for hearing. Hearings follow the Administrative Orders and Procedures Act, IC 4-21.5, so the licensee gets notice, the chance to be represented by counsel, the chance to present and cross-examine evidence, and appeal rights afterward. Where continued practice endangers the public, the Board can act summarily before a full hearing.
Sanctions available under IC 25-1-9-9
- Censure or letter of reprimand.
- Probation with conditions, monitoring, or practice restrictions.
- Suspension, definite or indefinite, and revocation.
- Civil penalties per violation, plus assessment of investigation and hearing costs.
- Additional continuing education, ethics coursework, or supervised practice as a condition of reinstatement.
Grounds and cooperation
IC 25-1-9-4 grounds include fraud in obtaining a license, criminal conviction related to practice, incompetence or negligence, misconduct, substance abuse affecting practice, violating a Board order, and practicing beyond scope. Failure to cooperate with an investigation is itself a chargeable matter and an aggravating factor.
Worked example
A licensee receives a Board subpoena for a client file and does not respond because the client objected. Privilege does not excuse the response; the Board's investigative subpoena overrides it for that purpose, and silence generates a separate cooperation charge plus an aggravated sanction. The correct move is to respond, assert objections in writing, and document.
Traps that cost marks
- Assuming a civil settlement with the client ends the Board matter; the tracks are independent.
- Assuming HIPAA compliance satisfies Board standards.
- Treating an agreed order as private; consent discipline is public and reportable.