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Professional Discipline

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S.C. Department of Labor, Licensing and Regulation ... Cease and Desist. Restitution. Council on Licensure, Enforcement and Regulation. Atlanta, Georgia ... – PowerPoint PPT presentation

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Title: Professional Discipline


1
Professional Discipline
2007 Annual Conference
  • Ruby E. Brice, J.D.
  • S.C. Department of Labor, Licensing and Regulation

2
The Disciplinary Process
  • Use of Administrative Hearings
  • Nature of Proceeding
  • Role of the Board
  • Participants
  • Jurisdiction of the Board

3
Steps in a Disciplinary Action
  • Initial Complaint
  • Investigation
  • Formal Complaint
  • Informal Disposition
  • Formal Hearing
  • Sanction
  • Judicial Review

4
Steps in the Enforcement Process
  • Intake Receiving and acknowledging complaints,
    setting up files and initiating complaint
    tracking.
  • Assessment Screening complaints determining
    the type of response appropriate for the
    complaint determining jurisdiction. In cases of
    perceived immediate public risk statute may
    permit immediate suspension of registration.
  • Investigation Assigning an investigator or
    investigative teams for determining the details
    of the case and producing a final report.

5
Steps in the Enforcement Process
  • Review Determining the disposition of
    investigated complaints those without merit,
    closed those with merit, a determination of the
    level of action to be taken.
  • Formal and Informal Resolution Informal
    resolution by stipulated agreement or Formal
    Hearings formal resolution by hearings before
    the board or administrative law judge.
  • Final Orders Determining facts, legal
    conclusions and sanctions in appropriate cases.
  • Compliance Following up on all final orders to
    assure the orders are being obeyed.

6
Practitioner Misconduct
  • Misconducts may include but are not limited to
  • Direct physical harm to a client
  • Abuse of a client
  • Improper advertising
  • Failure to provide access to records
  • Failure to keep records as required

7
Practitioner Misconduct
  • Falsification of records
  • Failure to maintain Standards of Practice
  • Failure to comply with the Code of Conduct
  • Falsifying financial records
  • Practicing the profession while mentally
    incompetent
  • Practicing the profession while impaired

8
Mental or Physical Impairment
  • Appropriate mental and/or physical evaluations be
    completed to ensure that the board has complete
    information on which to base their decisions in
    these cases.

9
Chemical Impairment
  • The process of drug impairment in regulated
    professionals typically progresses along a
    continuum from use, to misuse, to abuse, to
    dependency on a chemical substance. A regulatory
    authority should be careful in determining if a
    licensees drug activity is for legitimate
    reasons, and not interfering with competent
    performance.

10
Informal Disposition of Complaints
  • Advantages of Informal Disposition
  • Disposition by Correspondence
  • Consent Order
  • Settlement
  • The Boards Role in Informal Dispositions

11
The Formal Hearing
  • Format
  • Hearing Officer
  • Panel
  • Full Board
  • Issues
  • Confidentiality
  • Recusal
  • Taint

12
Rights of the Parties
  • Right to Appear and Be Heard
  • Right to Present Evidence
  • Right to Cross Examine Witnesses
  • Right to Be Accompanied and Advised by Counsel
  • Right to a Fair and Impartial Hearing
  • Right to Judicial Review

13
Forms of Evidence
  • Oral testimony
  • Documentary evidence
  • Visual, physical, illustrative evidence
  • Admissions
  • Facts officially noted

14
Making the Decision
  • Fact Finding Function
  • Determine the Facts Solely on Evidence Submitted
    at the Hearing
  • Determine whether the facts support the Charges
  • Conclusion of Law
  • Determine Whether the Charges are a Violation of
    the Relevant Law or Rule.

15
Determining Sanctions
  • The Nature/Circumstances of Offense
  • The Severity of the Allegations
  • The Number of Times Incident Occurred
  • The Length of Time Over Which Behavior Occurred
  • The Licensees Motivation for Action
  • Public Injury/Harm
  • The Protection of the Public
  • The Standards of the Profession

16
Types of Disciplinary Actions Include
  • Dismissal
  • Revocation
  • Suspension or Other Restriction of the License
  • Surrender
  • Probation
  • Censure/Public Reprimand
  • Requirement of Additional Education/Supervision
  • Administrative Fine
  • Cease and Desist
  • Restitution

17
Judicial Review
  • Remands to Board

18
Characteristics of a Strong Enforcement Process
  • Publicize their existence and role in handling
    consumer complaints. Options include
  • Toll-free complaint lines
  • Information brochure with wide distribution
  • Notices about where and how to file complaints
    posted in all licensed professionals offices

19
Characteristics of a Strong Enforcement Process
  • Public service TV and radio ads
  • Speeches by board members to community
    associations
  • Coordination of publicity/consumer information
    with local consumer groups
  • Including complaint filing information in statute
    and/or rules.

20
Characteristics of a Strong Enforcement Process
  • Develop a well-organized complaint handling
    process.
  • Establish appropriate periods of time for notice
    and for investigative review.
  • Observe due process.
  • Specify the reasons for which the board may take
    disciplinary actions.
  • Consider ways to establish internal consistency
    with regard to charges and sanctions.

21
Receiving and Sharing Information
  • The board should make provisions through the
    practice act to receive information from
    professional associations, professional review
    organizations (PROs), hospitals, clinics or other
    institutions in which a licensee performs
    professional services, on possible chemical
    abuse, or incompetent or unethical behavior
    within a specified time. Circulate notice of
    sanctions taken by the board to other licensing
    jurisdictions.

22
Speaker Contact Information
  • Ruby E. Brice, JD
  • Assistant Deputy Director
  • Office of Health and Medically Related
    Professions
  • S.C. Department of Labor, Licensing and
    Regulations
  • 110 Centerview Drive
  • Columbia, SC 29210
  • (803) 896-4724 Office
  • (803) 896-4719 Fax
  • mcclainr_at_llr.sc.gov
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