All licensed professionals must follow certain laws and rules applicable to their professions. The Texas Department of Licensing & Regulation (TDLR) is the state agency that licenses and regulates speech-language pathologists. Therefore, TDLR also receives complaints about speech-language pathologists and brings disciplinary actions against them to enforce rules and laws if necessary.
Disciplinary complaints may lead to sanctions that adversely affect your career. In severe cases, you could even face a license suspension or revocation, which affects your ability to keep your job and support yourself. A Texas speech language pathologist license defense lawyer can represent your interests before TDLR and put you in the best position to handle the disciplinary proceedings against you.
Situations that May Lead to Disciplinary Proceedings by TDLR
The ethical standards for speech language pathologists are outlined in 16 Tex. Admin. Code §111.155. Other code provisions govern speech language pathologists’ duties for advertising, recordkeeping, billing, supervising others, and being supervised by others. Additional requirements concern telehealth and continuing education. Licensees who violate these rules can face formal disciplinary action by TDLR.
Tex. Occ. Code §401.451 states that TDLR may suspend or revoke a speech language pathologist’s license or place the individual on probation if the individual:
- violates this chapter or an order issued or rule adopted under this chapter;
- obtains a license by means of fraud, misrepresentation, or concealment of a material fact;
- sells, barters, or offers to sell or barter a license or certificate of registration; or
- engages in unprofessional conduct that:
- endangers or is likely to endanger the health, welfare, or safety of the public as defined by commission rule; or
- violates the code of ethics adopted and published by the commission.
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Complaints about Speech-Language Pathologists
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Since TDLR licenses and regulates many different professions, it operates a centralized complaint process for licensees, including speech-language pathologists. When TDLR receives a complaint, it must determine whether the agency has jurisdiction over the complaint and whether sufficient evidence exists to find that a violation of an applicable rule or law has occurred. A staff member opens a formal investigation if the TDLR finds jurisdiction and evidence of a likely violation.
During an investigation, a TDLR investigator typically notifies the licensee of the pending investigation, interviews all parties involved, and collects and reviews any relevant documents and other evidence. An on-site visit to the speech language pathologist’s place of business may be necessary, depending on the nature of the complaint. The investigator completes a report at the close of the investigation and then submits the report to a TDLR prosecuting attorney.
The prosecuting attorney reviews the case and decides how to proceed. Options include dismissing it, issuing a non-disciplinary warning letter without further action, or initiating disciplinary action.
The initiation of disciplinary action begins with issuing a Notice of Alleged Violation (NOAV), in which TDLR seeks administrative penalties and other potential sanctions against the licensee. Administrative penalties are monetary fines that range in amount. Other sanctions include written reprimands and license suspensions or revocations, which may be probated in some instances.
Sanctions in Disciplinary Proceedings
TDLR has adopted an individualized enforcement plan for speech language pathologists, just as it has for all occupations that it licenses and regulates. Each enforcement plan contains a disciplinary matrix that lists descriptions of common violations, the statute violated, and the potential penalties for the violations. The disciplinary matrix for speech pathologists categorizes violations into Classes A through D based on severity. Class A violations are the least severe and carry the potential for the least severe sanctions. On the other hand, Class D violations are the most severe and carry the potential for the most severe sanctions, as follows.
Class A Violations
Class A penalties apply to minor administrative violations and violations related to the supervision of interns and assistants. Penalties may range from $50 to $500 in fines per violation.
Class B Violations
Class B penalties range from $300 to $3,000 in fines per violation and/or up to one year of full license suspension. These violations include records and billing violations, unlicensed activity, violations related to the supervision of interns and assistants, and continuing education violations.
Class C Violations
Class C penalties range from $1,000 to $5,000 in fines and/or up to license revocation. These penalties apply to more severe violations involving records and billing, standards of care, telehealth, code of ethics, and supervision of interns and assistants.
Class D Violations
Class D penalties can result in monetary fines of up to $5,000 per violation and/or up to license revocation. These penalties apply to the most serious violations, which include:
- Failure to comply with a previous TDLR order;
- Obtaining or attempting to obtain a license by fraud, misrepresentation, or concealment of a material fact;
- Selling, bartering, or offering to barter a license or certificate of registration;
- Engaging in unprofessional conduct that endangers the health, welfare, or safety of the public;
- Failing to pay TDLR for a dishonored payment or processing fee; and
- Engaging in sexual conduct, including intercourse, kissing, or fondling, with a client or an assistant, intern, or student supervised by the licensee.
Furthermore, in determining the appropriate sanction from the range of potential sanctions in each case, the prosecutor will consider the following factors:
- The severity or seriousness of the violation;
- Whether the violation was willful or intentional;
- Whether the respondent acted in good faith to avoid or mitigate the violation or to correct the violation after it became apparent;
- Whether the respondent has engaged in similar violations in the past;
- The level of penalty or sanction necessary to deter future violations, both by the respondent and by the industry as a whole; and
- Any other matter that justice may require.
Bertolino LLP: Ready to Defend Your Interests Before the TDLR
Retaining an experienced speech language pathologist license defense attorney to represent you before the TDLR is in your best interest. We are here to protect our interests throughout every stage of your disciplinary proceedings. Contact the lawyers of Bertolino LLP today by calling (512) 515-9518 or visiting us online.
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