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by Richard S. Leslie, J.D. Click here for profile. Attorney at Law - "At the Intersection of Law and Psychotherapy"
Negligence vs. Gross Negligence
(February 2006
, Volume 1)
… What is the difference between the two? Why does it matter? As to the difference, negligence can be generally defined as the failure to exercise that degree of care that would be exercised by the reasonably prudent therapist under like circumstances – the “reasonable person test.” The term “gross negligence” may be defined as an extreme departure from the ordinary standard of conduct or the want of even scant care. In many states, licensing boards have authority to take disciplinary action against licensees who commit an act of gross negligence, but do not have the authority to take disciplinary action for an act of ordinary negligence. Repeated or multiple acts of negligence, however, may constitute grounds for disciplinary action. Both kinds of negligence are actionable in a civil action for monetary damages for the harm caused by the actions of the therapist or counselor.
Does your regulatory board have the authority to take disciplinary action against you for a mere act of negligence? Or, must there be more? It is not unheard of for licensing boards to exceed their lawful authority in their zeal to protect the public. It is important for you to know what your rights are and what the limits are to the licensing board’s legal authority over your license – your livelihood.
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Disciplinary Actions
(July 2005
, Volume 2)
… State regulatory boards, as part of their enforcement duties, have various options with respect to how they handle less serious alleged violations by licensees. One such option is called “cite and fine” authority. It is important to carefully review the laws, rules or regulations that govern such authority by the board so that you know the consequences of any “settlement” and you know what your rights are in this area. Consultation with your professional association or a lawyer (at the earliest time possible) is prudent and often critical in any kind of investigation by the board.
It is not uncommon for regulatory boards to have the authority to assess a fine and give the licensee an opportunity to pay the fine and thereby dispose of the case without there being an admission of wrongdoing by the licensee. Is payment of a fine an admission of wrongdoing in your state? If the licensee doesn’t pay the fine or doesn’t resolve the matter with the board, then the board would generally consider whether or not they have a strong enough case to bring a formal proceeding against the licensee.
Another question of importance in making a decision as to whether or not to resolve a citation by paying a fine is whether or not the board publicly discloses the names of those licensees who resolve the matter by paying the fine. It is also important to determine if such a resolution constitutes “disciplinary action.” What’s the situation in your state for your license?
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Licensing and Certification
(September 2005
, Volume 1)
… What is the basic difference between a licensing act and a certification act with respect to a specific profession? In general, a licensing act or law defines the scope of the practice and prohibits anyone who is not licensed (unless exempt or otherwise allowed to practice) from performing services for money or other remuneration within that prescribed scope of practice. A certification law typically protects a specified title, but does not prohibit those who are not certified from performing the functions or services defined in the certification law, provided they do not use the protected title in order to hold themselves out to the public. Licensing is considered to be the strongest form of governmental regulation.
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Scope of License
(February 2007
, Volume 1)
… Each licensed mental health professional and other licensees are governed by a licensing law of some kind that will usually define the functions of licensees and prohibit anyone not so licensed from performing those functions for remuneration of any kind. Practitioners must be familiar with the scope of the license and must not forget that they may be licensed to treat, for example, mental and emotional conditions rather than physical ailments. I recall a licensed mental health practitioner who, in defense of charges of sexual misconduct and gross negligence, explained that he massaged the patient’s shoulder and back because she complained of physical pain in that area. One of the findings against the practitioner was that he was practicing outside the scope of his license – treating physical pain by touch/massage.
Mental health practitioners will occasionally engage in other actions that raise scope of license questions. For example, I have spoken with several practitioners who have expressed opinions and made recommendations to patients concerning the medication being prescribed by the physicians who are also seeing the patients. This gets into dangerous territory (practicing medicine without a license), even where the licensee has had coursework and training in psychopharmacology. Another example of a possible scope of license problem for practitioners involves suggestions or recommendations to patients about dietary supplements and related nutritional advice to deal with psychological problems. Care must be taken to have or acquire a thorough understanding of the limits to the scope of the license – no matter how competent one may be in a given area of rendering services.
Of particular concern is the issue of diagnosis and treatment of mental disorders, including severe mental disorders. Does your particular license allow such practice? Will you have difficulty proving that you have such authority if questions are asked by some insurer who is questioning whether or not there was appropriate billing for services rendered? What would the licensing board say if it were asked such questions by an insurer? It is important that practitioners be sure that they have the legal authority to engage in such activity. These can be thorny areas, depending upon the applicable state law and the kind of licensee involved.
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Scope of Competence
(February 2007
, Volume 1)
… Licensing laws, regulations, and/or ethics codes will typically contain provisions that prohibit practitioners from engaging in practices or activities that are beyond the scope of their competence, as established by their education, training and experience. These rules typically leave it to the judgment of the individual practitioner to determine whether or not he or she possesses sufficient skills and abilities to engage in the activity. Even if competent, however, one may be prohibited from doing something because of the applicable scope of license. Physicians have the broadest scope of license of all health practitioners, but the rules about practicing within the scope of their competencies limit their activities. Although physicians can typically practice psychotherapy within the scope of their license, most do not do so because it is not within the scope of their competence. Likewise, not all physicians perform surgery even though it may be within the scope of their license.
It can always be alleged by a disgruntled patient or client that the practitioner was not competent to do what he or she did. For instance, while it might be within the scope of the license for certain mental health licensees to administer and interpret psychological tests, it may not be within the scope of their competence. In such a lawsuit, the patient’s attorney will surely question the licensee about what coursework, what experience, and what education qualified him/her to perform the tests involved. Or, suppose that a practitioner used hypnosis or practiced hypnotherapy (assuming such work was within the scope of the license) while treating a patient. Again, a patient’s attorney may try to show that the practitioner did not have the requisite experience, education and training to perform such functions.
When therapists and counselors are first licensed, they typically have self-imposed limits regarding what they feel comfortable doing in their professional practices. As time goes on, they may want to expand their practices into new areas and new patient populations. This is part of the process of becoming a seasoned practitioner. How do they do this without violating the rule about not practicing outside the scope of their competencies? They read books, take coursework in degree programs, attend workshops and seminars, get supervision, and consult with those who have expertise in the area. It is important to be a good record keeper with respect to these kinds of activities so that if ever questioned, practitioners can demonstrate that they expanded the kinds of cases they handled in a responsible manner.
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Something Lighter - Law and Sausage!
(March 2007
, Volume 1)
It is well known to even casual observers of the legal system that lawyers are often arguing over the meaning or interpretation of a particular law (statute). The legislative process (how a law is made) is affected by many factors, and it is not uncommon that a law has to be amended in order to clarify its meaning. Therapists and counselors sometimes (and justifiably) get frustrated over the fact that they are required to comply with the law but that the law may be ambiguous and subject to varying interpretations.
Some assert that it was Otto Von Bismarck (the Iron Chancellor of Germany) who observed in the mid to late1800s the following: “Those who love sausage and obey the law should not watch either being made.” Someone else stated it this way: “I have come to the conclusion that the making of laws is like the making of sausages – the less you know about the process the more you respect the result.”
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Laws, Regulations, and the Attorney Generals' Opinions
(December 2007
, Volume 1)
… There are
various kinds of legal authority that affect counselors and therapists. It is
important and useful to understand and recognize what these sources of legal
authority are, that each of these sources of authority impacts your profession
in a variety of ways, and that participation in the process of making and
shaping public policy is important. Here are some basics – perhaps for a
refresher or a reminder.
Generally,
“laws” are passed by the Legislature. They are alternatively called “statutes.”
These laws, simply put, are statements of public policy. The legislative
process generally allows for the involvement of interested individuals and
special interest groups, like professional associations. “Regulations” are
passed by administrative agencies, like licensing boards, and are supposed to
explain or define a particular law – not to expand or contract the law. A
regulation has the force and effect of law. Administrative agencies are granted
the power to pass regulations by statute. Licensing boards and other agencies
are generally required to allow for public participation at regulatory hearings
and otherwise. If a regulation conflicts with the law that it is implementing,
the regulation may be declared by a court to be void.
Despite
efforts to write laws that are clear, interpretations will vary and ambiguities
will arise. Often, the exact meaning of a law is unclear. In most states,
certain government officials, such as legislators, can seek an opinion from the
state’s Attorney General regarding the meaning of a statute. These written
legal opinions are generally entitled to great weight and respect by the
courts, but they are usually not considered to be controlling authority. What
this actually means is that the courts will usually side with an interpretation
of the law in accordance with the Attorney General’s opinion – but not always.
In some
cases, the courts will ultimately determine what a particular law means. Trial
court decisions are often appealed and appellate courts write decisions that
often include discussions about the meaning of a particular law. Appellate
courts often consider legislative intent when the meaning of a law is at issue.
Collectively, these court decisions are referred to as “case law.” Sometimes,
however, obtaining an opinion from the Attorney General will help to resolve a
particular issue and therefore avoid the need for litigation. In the profession
of marriage and family therapy, for instance, a state Attorney General has been
asked for (and has rendered) opinions on such important questions about the
licensing law as: a) may an MFT practice psychotherapy; b) may an MFT diagnose
and treat mental disorder; and c) may an MFT construct, administer and
interpret psychological tests. I suspect these or similar questions arise or
will arise in more than one state and for more than one profession.
Generally,
therapists and counselors, through their respective professional associations,
have the opportunity to influence public policy by participating in the
legislative and regulatory processes. Some ethical standards encourage such
involvement. Professional associations can also be influential in seeking an
Attorney General’s opinion to clarify the meaning of a particular law. Failure
of an association (and members) to take an active role in the making of public
policy affecting their profession could lead to consequences that negatively
affect counselors or therapists (or their patients/clients) many years later. I
remember circumstances where therapists would call to complain about particular
laws or regulations that were now negatively affecting their practices or
perhaps threatening their careers. They would ask: “What is the Association
doing about this?”
My answer was
sometimes as follows: “We sponsored a bill to address this problem two years
ago and we asked for members to write and call their legislators about this
important issue, but the response was limited and the bill died because of
heavy opposition.” I then would engage in a frank conversation with the member
and explain, in the starkest of terms I could, that many members don’t get
interested in an issue until it affects them personally, and then it may be too
late. For example, membership involvement with a bill that would establish a
statute of limitations for licensing board disciplinary actions was minimal.
But, when a member later called and was outraged over the fact that the
licensing board was investigating an allegation about events taking place ten
years earlier, that member would be the one who asks – what are you doing about this?
Now that we
have briefly discussed laws, regulations and Attorney Generals’ opinions as
sources of legal authority, it is important to note that when someone is trying
to ascertain what “the law” is with regard to a particular subject, “the law”
governing that subject matter may be shaped by one or more laws (statutes), by
regulations passed by an administrative agency of the government, and/or by
opinions of the state’s Attorney General (or other-named state official). “The
law” about a particular subject matter may also be shaped by judicial decisions
(case law) that may interpret a particular statute or establish public policy
in an area that is not covered by statute or regulation.
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Mandatory Continuing Education - Does it work?
(December 2007
, Volume 1)
… Most states
require some form of mandatory continuing education in order for licensees to
renew their licenses. What relationship do these mandates have to the state’s
interest in protecting the public? What studies do licensing boards typically
initiate to determine whether these mandates help to reduce the number or
severity of disciplinary actions against licensees? Are there better and more
substantive alternatives to the current system? Are mandates really needed?
As to the
last question, I have always remembered the results of surveys that were done
by a large professional association of mental health professionals. Prior to
the imposition of mandatory continuing education, licensees were averaging
between 48 and 51 hours per year of continuing education. After the imposition
of mandatory CE, in the amount of 36 hours every two years, the survey showed
that members were averaging between 18 and 20 hours per year of continuing
education. The state imposed a minimum, and the profession complied. Therapists
and counselors should understand that if they are ever sued, a common line of
questioning by opposing attorneys involves continuing education. Attorneys will
ask about how much continuing education was gained and the nature of the
continuing education, especially as it relates to the treatment or issues
involved in the case they are handling. Compliance with only the minimum
requirements can be made to look like a negative.
It is my
impression that licensing boards rarely conduct or initiate studies to
determine the effectiveness of mandatory continuation education. Further, it is
my opinion that if such studies were done, it would be shown that these
mandates do not help to reduce the number or severity of disciplinary actions.
Many disciplinary actions are taken by state licensing boards for intentional
violations of the law – such as, but not limited to, sexual relationships with
patients, insurance fraud, conviction of a crime substantially related to the
qualifications, functions or duties of a licensee, and intentional failure to
report child abuse because the practitioner believed it would not be in the
best interests of the patient to file a report. In these cases, and others,
continuing education is not the issue!
There are
many criticisms directed at continuing education mandates in the various
states. In many states, CE is micromanaged and in some respects insulting.
Limitations exist in some states that do not allow licensees to claim credit
for perfectly good learning activities, such as reading an authoritative book
or obtaining consultation on relevant subject matter. Of course, changes can
always be proposed and a more rational, effective, and respectful system can be
achieved. One idea proposed by a renowned expert on CE is that there would be no mandatory continuing education, but licensees would be required to take a test every five years to determine whether or not they are knowledgeable in certain critical areas, such as law and ethics. If the licensee fails the test, the license must be reissued, but the licensee would only then be required to complete continuing education requirements consistent with the areas of deficiency. Licensees and professional associations have not been quick to jump on this idea!
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Hypnosis/Hypnotherapy
(January 2008
, Volume 1)
…
Suppose that a counselor or therapist is treating a woman who was the victim of
a rape. Assume further that the practitioner is experienced and competent in
the use of hypnosis or hypnotherapy (and is allowed by state law to utilize
hypnosis in his or her practice) and has advertised that fact. After the
client/patient tells the practitioner in some detail about the rape, but is
unable to recall some important aspects of the vicious crime, she asks the
practitioner to use hypnosis with her in order to assist in her recollection of
some of the aspects of the rape. The practitioner believes that such
recollection, in the long run, will be helpful to the treatment of the
client/patient. Is the therapist or counselor allowed to do this? Are there any
potential problems that must first be considered and addressed?
The
answers to these questions may not be easy to find - and they are likely
dependent upon state law. In one state, for example, the treating therapist
would be allowed to hypnotize the patient in order to help her recollect the
details of the rape that she cannot recall. However, the therapist is first
required to follow procedures set out in law. Failure to comply with these
procedures would jeopardize a later criminal prosecution of the alleged rapist.
In fact, failure to follow the procedures set out in the law would mean that
the victim of the rape would not be allowed to testify in the criminal
prosecution about the details of the rape that she did remember prior to any
hypnosis being used! This would likely mean that a conviction would, at a
minimum, be very difficult.
Even
if the procedures are followed, this particular state law (and I suspect other
states have similar laws) makes clear that the witness is only allowed to
testify about those matters that the witness recalled prior to the hypnosis. In
other words, even when the procedures are followed, the witness (victim) is not
allowed to testify about the memories recovered as a result of the hypnosis.
Thus, the purpose of the specified procedures is to preserve the right of the
witness to testify to those matters that she remembered prior to the use of
hypnosis by showing that there was no contamination by the hypnosis.
The
state law referred to requires that the substance of the pre-hypnotic memory be
preserved in written, audiotape, or videotape form prior to the hypnosis. It
also requires that the hypnosis is conducted in accordance with the following
procedures: a) a written record is made prior to hypnosis documenting the
subject’s description of the event, and information which is provided to the
hypnotist concerning the subject matter of the hypnosis; b) the subject gives
informed consent to the hypnosis; c) the hypnosis session, including the pre-
and post-hypnosis interviews, is videotaped recorded for subsequent review;
and, d) the hypnosis is performed by a licensed medical doctor, psychologist,
licensed clinical social worker, or a licensed marriage and family therapist
experienced in the use of hypnosis and independent of and not in the presence
of law enforcement, the prosecution, or the defense.
As
if this weren’t enough, the state law in question also provides that prior to
the admission of the testimony, the court must hold a hearing at which the
proponent of the evidence proves by clear and convincing evidence that the
hypnosis did not so affect the witness as to render the witness’ pre-hypnosis
recollection unreliable or to substantially impair the ability to cross-examine
the witness concerning the witness’ pre-hypnosis recollection.
What is the law in your state? While many of the
readers may not utilize hypnosis during the course of their work, some do. And,
to the unwary, imagine discovering, after it is too late, that the hypnosis
performed in a situation such as this has jeopardized the prosecution of the
person who perpetrated this horrendous act. Be prepared – find out how this
issue is addressed by the laws in the state where you practice.
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DISCIPLINE AND DUE PROCESS
(June 2010
, Volume 1)
Licensing by the
state is not a right, but rather, a privilege. Those who are licensed, whether
as marriage and family therapists, professional or mental health counselors,
psychologists, or others, work hard and sacrifice much to attain licensure.
While each state has its own requirements, the applicant for licensure will typically
have to attain specified education, supervised experience, and pass one or more
examinations. They will typically be fingerprinted and a background check of
some kind will be conducted. Never again will the licensee be under as much
scrutiny by the state, unless and until the licensee is the subject of a
complaint to the licensing board by a former patient, or until the licensing
board is otherwise informed of information that will trigger action.
States are often
under increasing pressure to do more in the way of disciplining licensed health
professionals, usually because of news stories about the failures of a
particular licensing board or the bad acts of one or more of its licensees.
News stories aside, licensing boards exist primarily to protect the public.
Professional associations typically exist to represent the common business and
professional interests of its members. It has been my view, and it seems to me
inarguable, that a licensee is entitled to fundamental fairness when dealing
with the state in response to a consumer complaint. Fundamental fairness is
essentially another way of saying “due process.” Due process is of critical
importance in criminal proceedings because the U. S. Constitution requires it
before a person’s liberty (or life) is taken away by state or federal
government. Those who are licensed are entitled to administrative due process,
which is something less than the due process afforded to those who are accused
of felonies and misdemeanors.
Once licensed, the
licensee has a vested property interest in that license. It allows him or her
to pursue a career. Anyone else, unless similarly licensed or otherwise exempt,
may not engage in that activity for a fee. Since a state license to practice a
mental health or other profession is a valuable property interest, it should
not (and cannot) be taken away on whim or caprice, or in an unfair manner. That
is why states have passed laws and/or regulations that specify what constitutes
administrative due process. Two fundamental elements of due process are notice and a hearing. Each state’s
process will be different in a variety of ways, both at the investigation stage
and at the hearing stage. It is important for licensees to be aware of the
disciplinary process. It is also important for associations that represent the
interests of the various professions to monitor this process, to resist changes
that would jeopardize the fairness of the process, and to suggest changes to
the current process as may be warranted.
The licensed
mental health professions in California, and many other health care licensees,
have recently lobbied intensively to kill a bill that was pushed by the current
administration (the Governor, through the Department of Consumer Affairs). This
effort by the administration was in part the result of an investigative
newspaper article regarding nurses who were convicted of sex crimes and
attempted murder but who nevertheless retained their licenses. The article
additionally indicated that nurses with histories of drug abuse, negligence,
violence, and incompetence continue to provide care, and that the Board of
Registered Nursing often takes more than three years on average to investigate
and discipline errant nurses. The bill proposed a variety of changes to the
disciplinary process. Some of the proposed changes were not objectionable, but
others were, in my view, draconian. There was a clear intent to limit and erode
the due process protections that have been a part of the law for many years.
Particularly disturbing was the fact that many of the proposed limitations and
erosions were unrelated to the reasons why some licensing boards were taking so
long to act or not acting at all.
With respect to
the issue of notice, most (if not all) state laws or regulations allow health
care licensing boards to suspend a license without prior notice to the licensee
only in more serious or extreme cases. This would typically be allowed in cases
where serious injury would result to the public if quick action is not taken
(before the matter could be heard on notice). After the license is suspended,
the licensee will typically be notified in a short period of time and will be
entitled to a limited hearing to contest this “interim suspension.” In other
cases, the interim order of suspension will be sought with prior notice to the
licensee. In California, the hearing to determine whether an interim order of
suspension should issue would typically be held before an Administrative Law
Judge. An adverse decision may be immediately appealed by the licensee and
heard in a court of law. The full administrative hearing on the formal
accusation or charging documents would be held in a fairly short period of
time, especially if the administrative decision was to suspend the license in
the interim.
In the standard or
usual situation, the licensee will have ample prior written notice of the
alleged violations that constitute unprofessional conduct and will have an
opportunity to hire an attorney and mount a defense. Some cases proceed to a
hearing, while most are settled. It is important to remember that your
malpractice insurance policy may contain coverage for the legal expenses
incurred in responding to a licensing board investigation and enforcement
action. For example, the professional and supplemental liability insurance
policy offered to allied healthcare providers through CPH and Associates covers
the reasonable expenses (e.g., hiring a lawyer) that an insured incurs
resulting from an investigation or proceeding by a state licensing board or
other regulatory body, provided that the investigation or proceeding arises out
of events which could result in claims (demands for damages) covered by the
policy. The amount of coverage provided is $25,000 (this is the maximum
aggregate amount).
Since your right
to practice is potentially threatened anytime you are being investigated by the
board, it is wise to consult with or be represented by an attorney as early as
possible – at least in most cases. I have seen some complaints that are so
comical or outrageous, or simply so lacking in merit, that a knowledgeable
therapist or counselor, after getting some help or advice (perhaps from their
state professional association), might be able to respond to an inquiry without
representation and obtain a quick and favorable result – that is, a closing of
the case with no finding of wrongdoing of any kind. In California, and I
suspect in other states, the vast majority of consumer complaints do not result
in disciplinary action by the licensing board. We have found that many of such
cases emanate from divorce, custody, and visitation proceedings. Nevertheless,
and as I have stated on many occasions, although you may think that you have
done nothing wrong and have nothing to hide, this is not necessarily reason
enough to forego consultation or representation.
The burden of
proof in an administrative proceeding to revoke, suspend, or otherwise
discipline a licensee in California is “clear and convincing evidence.” This
burden of proof, which is more difficult to attain than the “preponderance of
the evidence” standard, requires a finding of high probability. It is evidence
so clear as to leave no substantial doubt. Stated otherwise by the courts, it
is “…sufficiently strong evidence to commend the unhesitating assent of every
reasonable mind.” The Administrative Law Judge (ALJ) issues a proposed decision
after the administrative hearing, and the licensing board has the option of
adopting the decision, modifying it, or rejecting it. Ultimately, the board can
decide the case as they deem appropriate, can make its own findings, and impose
those sanctions that it thinks appropriate. Much of the time, however, the
Board adopts the ALJ’s decision either as is proposed or with minor
modifications. Since licensees can appeal adverse decisions to the courts, the
Board’s actions in direct contradistinction to the ALJ’s findings and
recommendations will likely engender more scrutiny from the courts and may be
more likely to be set aside.
What is the
standard of proof required by the law in your state? What due process
protections exist for licensees in your state? What efforts, if any, are being
made in your state to make it easier for the licensing board to impose
discipline? What involvement, if any, does your professional association have
in trying to protect the due process rights of licensees? It is common for me
to speak with a licensee who has been contacted by the licensing board, or who
has had an Accusation filed against him or her, and for the licensee to
complain about the process or the actions of the licensing board or an
investigator. The licensee may ask – “what is the Association doing about this
seeming unfairness?” I usually ask the licensee if he or she was concerned about
the process before being the target of the investigation, or if he or she was
aware of the related legislation that the association recently sponsored. The
message is – be concerned before you are the target of an investigation!
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DISCIPLINARY ACTIONS
(September 2011
, Volume 2)
…Licensing (as a mental health
professional) by the state is a privilege, not a right. Once licensed, however,
the license is in the nature of a vested property interest. Licensees work hard
to obtain a license and licensees want to keep their licenses in order to earn
a livelihood. Licensing boards are charged with the duty of protecting the
public, and they have the authority to impose discipline pursuant to procedures
and standards usually set out in law. Each state has its own system, and some
states provide more “due process” protections for licensees than others. For
example, some states may have a statute of limitations that applies to (and
bars) “stale” complaints, while others may place no limits on the Board’s
ability to pursue complaints involving actions or behaviors occurring many
years earlier. There may be no statute of limitations for certain offenses,
such as is typical with respect to procurement of a license by fraud or
misrepresentation. If an alleged act or omission involves a minor, the
limitations period may be tolled until the minor reaches the age of majority.
Thus, such complaints might well be stale, but they will nevertheless result in
an investigation and possible disciplinary action.
When a health care practitioner
(hereinafter called “you”) is investigated by a licensing board for the first
time, it is only then that it may be realized that everything you worked for,
and all of the good that you have done and will do, and your very livelihood,
is on the line. It is only then, that you may realize that the exposure you
have as a result of a complaint from an angry patient is significant. It is
only then that you may realize, especially because you did nothing wrong when
working with this troubled patient, that you are up against the State of
________, with all of its power and virtually unlimited financial and human
resources. It is then that you will want to know – what are my rights? How do I
protect myself? Will I be treated fairly by the investigator? Will the
investigator be on a search for the truth, or will the investigator be looking
to “make a case?” Will I have an opportunity to defend myself? What are my “due
process” protections?
I have spoken with many therapists,
who, upon finding out about the awesome power of the state, have asked if their
due process rights are as extensive as those possessed by criminal defendants.
The short answer is “no.” In a disciplinary proceeding a licensee is generally
entitled to “administrative due process,” and what that precisely means depends
upon the particulars of state law. The basic tenet of administrative due
process, however, is that the licensee is entitled to notice and a hearing.
Beyond that, one must refer to the provisions of state law to fully and precisely
answer the questions asked above.
When first notified of a complaint, practitioners
ask whether or not they need an attorney. Some proclaim their “innocence” and
think they can resolve the matter with a letter of explanation. When I was
active as a criminal defense attorney many years ago, I would emphasize that
when you are in fact innocent of any wrongdoing, that is the very time when you
need an attorney. An innocent person going to prison is worse than a similar
fate for a guilty person. Thus, in the context of disciplinary proceedings, it
will come as no surprise that I generally have advised licensees to hire an
attorney as early in the process as possible. There may be complaints that are
so bizarre and preposterous, where the complainant is clearly not credible,
that the practitioner may feel comfortable providing a simple explanation in
order to dispose of the complaint. Of course, that is a matter of judgment for
the individual practitioner based upon the totality of circumstances.
It must be understood that in a
disciplinary proceeding, unlike in a criminal proceeding, there is no
presumption of innocence and no jury of one’s peers. Additionally, and as
mentioned in prior articles, the burden of proof on the state is not as great
as the burden of proof in a criminal case. Thus, the state doesn’t have to
prove you guilty “beyond any reasonable doubt.” Its burden of proof is
generally either by a “preponderance of the evidence” or by “clear and convincing
evidence.” Another advantage that the licensing board may have, depending upon
state law, is that even after a favorable decision (for the practitioner) by an
administrative law judge or a similarly titled official, the board may have the
authority, at least to some degree, to non-adopt the administrative law judge’s
decision. Licensees typically have the right to appeal an adverse
administrative decision to a court of law.
I must caution that my comments will
not necessarily apply in each state – because the investigative, notice, and
hearing stages of such disciplinary actions and proceedings may vary in
significant ways.
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SCOPE OF COMPETENCE/SCOPE OF LICENSE
(October 2011
, Volume 1)
… May a licensed marriage and family
therapist or a licensed professional clinical counselor provide a patient or
client with some kind of massage or touch to relieve pain? If they do, are they
necessarily liable in a negligence action brought by an aggrieved patient? May
a licensed professional clinical counselor diagnose and treat mental order,
regardless of the severity of the disorder? May a licensed marriage and family
therapist or a licensed mental health counselor perform psychological testing
with a client? May licensed mental health professionals provide “life coaching”
to clients? Do licensed psychologists have a broader scope of license than licensed
professional clinical counselors or licensed marriage and family therapists?
These questions all relate to the joint concepts of scope of license/scope of
competence.
When one discusses scope of license
(sometimes referred to as scope of practice), he or she is necessarily
referring to the statutory authority granted by the state in the licensing law
for the particular profession. As was explained in a California Attorney
General’s opinion that I read many years ago related to licensed marriage,
family, and child counselors, in the
beginning, there were physicians. Physicians historically have had the
broadest scope of license that exists – that is, they were statutorily granted
the right to treat any kind of blemish, deformity, disfigurement, ailment or
disorder, whether physical or mental. Thereafter, the Legislature granted to
other health care professions the right to practice what was previously within
the exclusive province of the physician, but granted a more limited scope of
license or practice to the newly licensed profession. These new licensees,
whatever their particular licensure, were expected to practice strictly within
the scope of the authority granted in the licensing law.
With respect to mental health
practitioners, the “turf wars” between the professions in the various states
have created somewhat of a legislative and legal morass. Although the scope of
license sections of the various professions will vary in language, there is
very little difference in some states in the actual practices between licensed
clinical social workers, licensed marriage and family therapists, licensed
psychologists, and licensed professional clinical counselors, despite efforts
by some to assert otherwise. All of these professionals treat or provide a wide
range of mental health and counseling services to adults, children, couples,
families, and groups. All of these professions may be permitted to practice
psychotherapy and may diagnose and treat mental disorders – and be reimbursed
by federal and state programs or by private insurers for doing so. While there
will be variances with this reality in some states because of the specifics of
state law, these similarities in practice may be the case in many states.
While physicians have a broad scope of
license, as described above, they are generally not allowed to practice outside
the scope of their competence, as determined by their education, training, or
experience. Thus, while physicians may be permitted by state law to perform
brain surgery, most physicians do not perform such services because it is
outside the scope of their competence. Likewise, while mental health
professionals may be permitted by state law to diagnose and treat mental
disorders, state law will usually attempt to restrict the scope of the services
actually rendered by providing that the licensee is “guilty” of unprofessional
conduct for acting outside the scope of his or her competence – as established
by his or her education, training, or experience. Thus, while one may be acting
within the scope of his or her license, he or she may be acting in a manner
that can result in a disciplinary proceeding by the licensing board (e.g., for gross
negligence or incompetence) or that subjects the actor to civil liability for
negligence, gross negligence or incompetence.
Suppose that a licensed mental health
practitioner provided, during the course of therapy, some kind of physical
touch or massage to relieve a patient’s pain. Such acts would likely be outside
the scope of the practitioner’s license, and the practitioner would be subject
to disciplinary action by the licensing board. The practitioner might also be
subject to a criminal penalty for practicing medicine or physical therapy without
a license. But, is the practitioner necessarily liable in a civil suit for
monetary damages where the plaintiff alleges physical and/or emotional harm as
a result of the practitioner’s negligence? Arguably, there should be no
liability unless the plaintiff proves that the practitioner performed the services
in a negligent manner. There may be other theories of liability that the
plaintiff can establish, but on the issue of negligence, the practitioner may
prevail if it is demonstrated that he or she provided competent care or that
the plaintiff did not suffer injuries or harm as a result of the massage or
touch. The practitioner’s malpractice insurer will likely deny coverage for the
claim or the lawsuit if the practitioner did not perform services that the
insurer agreed to insure (e.g., was not practicing the profession covered by
the policy).
The issue of psychological testing has
historically been a battleground for the professions, with the psychologists
maintaining that this is their exclusive turf. In reality and in practice, that
is not the case in many states. As a practical matter in some states, if a
licensed mental health practitioner is competent, by reason of his or her
education, training, or experience, he or she may perform psychological testing
as part of the diagnosis or assessment of the patient being treated.
Additionally, in some states, marriage and family therapists and other licensed
professionals may perform psychological testing as a part of their role as
custody evaluators, or in some other capacity and for some other purpose. This
raises the issue of the legality or appropriateness of doing psychological testing
with patients who are referred to the practitioner not for treatment purposes,
but for testing purposes only. State law and other legal authority may limit
the right to do such psychological testing for certain professions in a
particular state – – and practitioners need to ascertain the legal/regulatory situation
in their state of practice.
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