Complaint Against Your License?
Receiving a notice of a complaint against your professional license can feel overwhelming. It’s natural to experience a mix of emotions—fear, frustration, and confusion. However, the way you handle the situation is crucial for protecting both your license and your professional reputation. The good news? A complaint does not automatically mean disciplinary action. Many cases are dismissed, and with the right approach, you can navigate the process effectively.
1. Stay Calm… but Take the Complaint Seriously
Receiving a complaint can feel personal, but remember that complaints can be filed for many reasons. Like miscommunication, misunderstandings, or even vindictiveness. Regardless of the reason, every complaint should be taken seriously. Complaints can come from patients, colleagues, employers, or even the licensing board itself if they believe there is cause for concern. Even a frivolous complaint can escalate if not handled properly.
Upon receiving a complaint, read it carefully to understand the allegations and take note of the deadline for responding. It’s important to avoid discussing the complaint with colleagues or clients, as this could unintentionally complicate the situation. Reaching out to the complainant to resolve the issue informally is not recommended.
2. Understand the Investigatory Process
Once a complaint is filed, the licensing board will typically conduct an investigation. Though procedures may vary by state and board, most follow a similar structure.
The complaint is reviewed, and an investigator is assigned to the case. This investigator may request records, statements, or additional information, and you are usually given 14 to 30 days to submit a written response. Failing to respond within the given timeframe can itself be grounds for disciplinary action, though extensions are often granted when requested appropriately.
The length of an investigation can range from a few months to more than two years, depending on the complexity of the case and the board’s process. Once all necessary materials have been reviewed, the board will make a determination. Possible outcomes include dismissing the complaint, issuing a warning, or imposing disciplinary action.
3. Seek Legal Counsel Immediately
One of the most critical steps you can take is to consult an attorney who specializes in professional licensing defense. Even if a complaint seems baseless, having legal guidance can prevent missteps and ensure that responses are properly framed. A lawyer can assist in drafting a clear, professional response, protecting your rights during the investigation, and ensuring that only necessary information is provided to the board.
It’s also advisable to check whether professional liability insurance covers legal representation for licensing board complaints. Many policies provide some level of coverage, which can significantly reduce financial stress while navigating the complaint process.
4. Gather and Organize Documentation
Proper documentation is one of the strongest defenses against a licensing complaint. You should collect relevant records, including session notes, informed consent forms, and any email or text communication related to the case. All documentation should comply with confidentiality laws, particularly HIPAA regulations, which dictate how and when protected health information (PHI) can be disclosed. Licensing boards are considered health oversight agencies, and under 45 CFR 164.512(d), they may have access to certain PHI. However, only the minimum necessary information should be disclosed. If there is any uncertainty about what to provide, consulting an attorney before submitting records is highly recommended.
Do not alter records after a complaint has been filed. Modifying documentation retroactively can be seen as an attempt to conceal information, which could result in additional disciplinary action.
5. Craft a Thoughtful, Professional Response
Your written response to the board should be professional, concise, and fact-based. It is essential to avoid emotional or defensive language, as this can make the response seem less credible. Instead, the response should address the allegations clearly, using factual explanations and any necessary supporting documentation.
If the complaint is vague or misleading, the response should provide clarification while staying within the bounds of professionalism. This is where having an attorney review the response can be particularly helpful, as they can ensure that the wording is effective and that unnecessary details are not included.
6. Cooperate, But Set Boundaries
Throughout the investigation process, you should fully cooperate with the licensing board while also maintaining clear boundaries. Following all deadlines and procedures is critical, as missing a deadline can have negative consequences. At the same time, you should be mindful of what you disclose. Investigators may request additional information beyond what is strictly related to the complaint, such as continuing education unit (CEU) compliance or personnel information. While it is important to be responsive, you should avoid volunteering unnecessary details that could complicate the case.
Some licensing boards allow for non-disciplinary resolutions, such as advisory letters or required training, while others may move directly to disciplinary action if a violation is found.
7. Prepare for Possible Outcomes
At the conclusion of an investigation, the board may resolve the case in several ways. In many instances, the complaint is dismissed if there is no evidence of a violation. In other cases, the board may issue a non-disciplinary action, such as an advisory letter or a requirement for additional training. More serious outcomes include disciplinary actions such as reprimands, fines, probation, suspension, or, in extreme cases, revocation of the your license.
8. Protect Yourself Moving Forward
After a complaint has been resolved, it’s important to take proactive steps to prevent future issues. Maintaining clear and thorough documentation, improving informed consent procedures, and keeping up with CEU requirements can help reduce the risk of complaints. Additionally, ensuring that liability insurance covers licensing board complaints provides an extra layer of security.
Final Thoughts
Facing a complaint against your license is undoubtedly stressful, but it does not have to define your career.
Stay calm, respond strategically, and seek legal support.
If you need legal guidance, Lawyers for Therapists specializes in helping mental health professionals handle licensing board complaints. Contact us today to learn how we can help you protect your practice and your future.
This blog is intended for educational purposes only and does not constitute specific legal advice for any individual. Reading this material does not establish an attorney-client relationship between the reader and our firm. For personalized legal guidance, please consult a licensed attorney in your jurisdiction.