Board Complaint, Record Deletion, and Contacting the Complainant
Dr. Alan W. receives a certified letter from the Ohio Board of Psychology stating that a former client, Ms. K., has filed a complaint alleging that he disclosed her HIV status to her employer and that he billed for two sessions she did not attend. The Board requests a written response and complete records within 30 days. Alan is panicked. He remembers that Ms. K. once threatened to "ruin" him after he confronted her about unpaid balances. He considers deleting a progress note that mentions the employer and calling Ms. K. to ask her to withdraw the complaint. He also wonders whether he must report the complaint to his malpractice insurer and whether he can continue treating current clients during the investigation.
1. What should Alan do first, and what must he avoid doing with the records and with Ms. K.?
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Alan should preserve all records immediately, including the progress note, billing records, emails, and metadata, and should not delete or alter anything. Deleting a note can be a separate violation, destroys evidence, and may be worse than the original allegation. He should not contact Ms. K. directly to ask her to withdraw the complaint; that could be seen as intimidating or harassing and can create new ethics problems. He should read the Board letter carefully, calendar the 30-day deadline, and consult a health-law attorney experienced with licensing boards. He should respond in writing, provide complete records as requested with appropriate confidentiality protections, and give a factual chronology rather than a personal attack. If he believes a record contains an error, he may add a clearly dated late entry without deleting the original. He should not ignore the letter, because failure to cooperate can itself be a disciplinary ground.
2. What should Alan do about the malpractice insurer and about continuing to treat current clients?
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He should notify his malpractice insurer promptly if the policy requires notice of a Board complaint or potential claim; many policies require prompt notice, and delay can jeopardize coverage. He can generally continue treating current clients unless the Board imposes restrictions, but he should monitor his stress and avoid impairment. He should not discuss the complaint with clients or use them for support. If the complaint involves a boundary or confidentiality issue that could affect current clients, he should seek consultation and supervision. He should also review his billing records for the two disputed sessions and be prepared to explain his documentation, cancellation policy, and any authorization for the HIV disclosure. Continuing to practice is appropriate if he remains competent and the Board has not restricted him, but he should keep the investigation separate from clinical work.
3. What rights and process should Alan expect from the Board, and how should he frame his written response?
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The Board typically investigates first and may dismiss the complaint, resolve it through a consent agreement, or issue a formal complaint and notice of hearing. Alan has rights to notice of the allegations, to be represented by counsel, to present evidence and witnesses, to cross-examine, and to appeal an adverse final order. His written response should be factual and organized: dates of service, presenting issues, what was disclosed, to whom, under what authorization, billing records, and any signed releases. He should acknowledge clear errors rather than deny everything, but he should not admit facts he cannot verify. He should explain the unpaid-balance confrontation only if relevant and should avoid retaliatory language. He should also ask the Board or his attorney about the scope of confidentiality during the investigation. Cooperation, accurate records, and a sober factual tone are more persuasive than attacking the complainant.