License Defense Lawyers for Mental Health Professionals in Austin and Houston, TX

Board investigations are initiated upon the Board’s receipt of a complaint from a client, law enforcement, a third party, or even an anonymous source. The Executive Director of the Board will facilitate the review and consideration of each complaint. This includes determining that it is jurisdictional and alleges something that is actually a violation of the statutes.

If the complaint is deemed jurisdictional, the Executive Director will often notify the licensee that a complaint has been filed against them, and allow the licensee to respond. The licensee is also asked to provide client records and other relevant information.

The Board’s investigative staff will collect and compile all of the information received about each complaint and use it to prepare an investigative summary of the case. The Executive Director then sends the case to be reviewed by the Ethics Committee.

The types of conduct typically investigated range from relatively minor alleged violations to those that are much more serious. Examples include the following.

• Maintaining a dual relationship
• Sexual misconduct
• Criminal conduct
• Impairment due to chemical dependency or mental illness
• Fraudulent billing
• Failure to keep accurate client records
• Violations related to supervision hours
• Release of confidential client information
• Practicing on an expired license
• Unethical/Unprofessional conduct
• Failure to cooperate with the board
• Discipline in another jurisdiction
• Failure to report physical or sexual abuse

The Board Chair appoints the Ethics Committee. It is tasked with reviewing each complaint, ensuring that complaints are given due consideration, ensuring that the complainant can explain their allegations, and ultimately dismissing complaints that do not warrant action.

The Ethics Committee meets at regular intervals throughout the year- roughly quarterly. These meetings are open to the public. They are typically attended by other licensees who have received a complaint, other interested parties, licensees, and students that need continuing education credits. The licensee is allowed to address the Committee in public sessions and answer any questions the Committee may have. The Committee will vote to either close the matter or, if they believe a violation has occurred, issue a Notice of Violation.

A Notice of Violation is sent to the licensee if the Ethics Committee determines that a violation has occurred. The Notice of Violation will give a brief account of the acts or omissions believed to constitute a violation. It will include specific Board statutes and rules believed to have been violated.

The Notice of Violation will also contain the Committee’s recommended discipline and give the licensee 15 days to accept the discipline, reject the discipline, and request an informal conference, or reject the discipline and request a formal hearing. If the licensee makes no response, the Board will initiate default proceedings to implement the proposed discipline.

The Board is authorized to deny, revoke, temporarily suspend, or suspend a license, or may probate disciplinary action, issue a reprimand, or impose an administrative penalty. Each Board has rules setting out their schedule of sanctions, aggravated or mitigated by multiple factors.

If the licensee chooses to attend an informal conference, they will be notified by the executive director of the time and place of the conference, with no less than 10 working days’ notice. The conference is attended by the executive director, at least one Board member, and the Board’s legal counsel.

The licensee and their counsel can make a statement and present evidence as appropriate. All Board members, the executive director, and legal counsel may ask questions of the licensee. After the conference, the Executive Director and the Board members can make a recommendation for informal disposition of the case.

Informal disposition could dismiss the matter if it is determined that no violation exists or the Board has no jurisdiction over it. Alternatively, the panel could recommend a lesser sanction.

The recommendation will be reduced to writing in an Agreed Order, including findings of fact, conclusions of law, and the proposed sanctions. The licensee may accept or reject the recommendations made at the informal conference. If the licensee accepts the informal disposition, it will go before the full Board for approval, at which time it becomes effective.

If the matter is not resolved informally, either by dismissal or some agreed sanction, the licensee is entitled to a Formal Hearing at the State Office of Administrative Hearings (SOAH). The Board will file a formal complaint, and the licensee will be notified of a hearing date. Both sides will have an opportunity to conduct discovery and file pre-trial motions.

The Board will present its case at trial by introducing evidence and calling witnesses. The licensee will present their defense by introducing their evidence and witnesses. Both sides will present a closing argument either in person or through a briefing.

After the record is complete, the Administrative Law Judge (ALJ) will consider all the evidence and make findings of fact and conclusions of law. The ALJ will send his recommendation to all parties in a Proposal For Decision (PFD) that will go before the Board for their consideration in making a final decision.