Complaints, Disciplinary Action, and Enforcement
What the domain tests
This domain covers the Board's complaint and disciplinary process: grounds, investigation, due process, sanctions, and enforcement of unlicensed practice. Expect questions on what triggers a complaint, how to respond, and what discipline can include.
Core rules
- The Board may investigate complaints from clients, employers, agencies, or its own review. Grounds include unprofessional conduct, incompetence, fraud, boundary violations, substance impairment, criminal convictions, and practicing without a license.
- The Board typically screens, investigates, and determines whether probable cause exists; cases may resolve by consent order or proceed to a formal hearing.
- Licensees must cooperate with lawful Board inquiries. Ignoring a Board letter is itself a disciplinary risk.
- Sanctions can include reprimand, fine, additional CE, supervised practice, probation, suspension, revocation, and cease-and-desist orders.
- A malpractice suit and a Board complaint are separate. A settlement does not automatically end the Board's authority.
Worked example
A client files a complaint alleging that a psychologist disclosed confidential information. The Board asks the psychologist for a written response and records. The psychologist should respond through counsel if advised, preserve records, and not contact the client to pressure withdrawal. If the Board finds probable cause, the matter may settle by consent order with conditions or go to hearing. Withdrawing the complaint does not erase the Board's jurisdiction.
Traps
Do not assume the client's withdrawal ends the case. Do not alter or destroy records after a complaint. Do not ignore deadlines. Do not confuse insurance defense with Board defense.