Complaints, Investigations, Disciplinary Actions, and Due Process
What the exam tests
This domain covers what happens when the Board or DHHS receives a complaint. Expect questions on investigation, notice, hearing rights, discipline, and compliance.
Core rules
- A complaint may be filed with the DHHS Licensure Unit; the Board reviews allegations and may authorize investigation.
- Licensees must respond truthfully and cooperate; do not alter or destroy records after a complaint.
- Due process generally includes notice of allegations, an opportunity to respond or hearing, representation by counsel, and appeal rights under the Act and rules.
- Grounds may include unprofessional conduct, incompetence, fraud, impairment, confidentiality violations, and practicing beyond scope.
- Discipline can include censure, probation, conditions, suspension, revocation, civil penalties, or CE orders.
Worked example
A client complains about a boundary violation. Reasoning: the therapist contacts counsel, preserves the record, responds factually, and avoids contacting the complainant inappropriately. At hearing, the therapist presents evidence and witnesses; the Board applies the statute and rules. Compliance with any order is documented.
Traps
Ignoring Board correspondence; “cleaning up” notes after notice; discussing the investigation with clients; assuming a private settlement ends the Board case; practicing during suspension.