Recordkeeping, Complaints, and the Disciplinary Process
Recordkeeping, complaints, and the disciplinary process
Records are professional and legal documents. They should be accurate, timely, legible, and limited to information needed for treatment; include consent, assessment, treatment plan, progress notes, referrals, releases, and termination. Retention periods are set by Board rule and other law; retain records at least as long as required, and longer for minors or pending complaints. Clients generally have rights to access and correct records under law, with limited exceptions. Release requires valid authorization or legal compulsion. Never alter a record after a complaint; add a dated addendum instead.
The disciplinary process typically begins with a complaint, screening, investigation, and opportunity to respond. If probable cause exists, the Board may offer settlement or hold a contested-case hearing under the APA, with notice, counsel, evidence, and appeal rights. Sanctions include reprimand, probation, suspension, revocation, fines, CE, and supervised practice. The Board may act on ethics violations even without criminal conviction.
Traps: (1) destroying records when a complaint is filed; (2) ignoring board correspondence; (3) assuming a private settlement ends the board case; (4) confusing malpractice with licensure discipline; (5) failing to report certain arrests or convictions as rules require.
Rule of thumb: respond promptly, preserve records, get legal advice, and tell the truth.
Worked example: a client complaint alleges a boundary violation. The licensee preserves the file, does not contact the client to pressure withdrawal, responds to the Board through counsel, and provides only requested documents.