For millions, communication is essential but not always easy to achieve. From a child gaining new words through speech-language therapy to a senior regaining their world through audiology and hearing aid dispensing, these specialists not only treat the symptoms. They help restore quality of life. These professionals rely on advanced diagnostic and technological expertise, fitting life-changing technology and devices with pinpoint accuracy.
But even the most compassionate and skilled can find their career at risk. A single complaint or accusation of malpractice can put your license at risk. In a highly regulated profession, doing your best may not be good enough for the board.
If your professional standing is under scrutiny, don’t navigate the legal labyrinth alone. Call the San Jose License Attorney for a free consultation. Protect your livelihood so you can continue focusing on your patients’ care.
Overview of the State of California, Department of Consumer Affairs, Speech-Language Pathology and Audiology Board (SLPAHADB)
Communication is fundamental to human interaction and, for many, a daily challenge. From a child finding their voice through speech-language pathology to an adult regaining their world through audiology and hearing aid dispensing, these practitioners not only treat disease. They bring hope and independence. Professionals spend years diagnosing disorders and fitting life-changing technology in a practice where clinical excellence is paramount. However, while practitioners work hard to restore quality of life, they also face a high-stakes legal system in which their livelihoods can be at risk if they are accused of malpractice.
In the state of California, only the board (SLPAHADB) is responsible for licensing and regulating practitioners’ right to practice. It is important to differentiate between professional associations and state legal authority. While organizations like ASHA and AAA establish professional standards of practice and national certification, they are not government entities. They can issue, suspend, or revoke a “Certificate of Clinical Competence.” However, only the SLPAHADB, under the California Department of Consumer Affairs (DCA), can issue, discipline, or revoke a California license.
The SLPAHADB comprises nine members, both licensed practitioners and the public. Their role is to protect consumers, but some members may not have direct clinical experience and a deep understanding of the complexities of clinical practice. This can result in a regulatory rather than a clinical value set being applied to standard procedures.
Furthermore, investigations by the board are conducted by the DCA Division of Investigation. These peace officers have law enforcement capabilities, meaning the board’s regulatory function is supported by enforcement authority under the California Business and Professions Code. This gives them the ability to conduct police raids and undercover sting operations that treat technical administrative errors with the same investigative scrutiny as severe criminal acts or intentional consumer endangerment.
Reasons for Board Investigations
Your professional practice is constrained by a specific regulatory framework under the Business and Professions Code, which may result in disciplinary action by the SLPAHADB. Your objective is to offer a wide range of services, but you could lose your license if you practice outside your scope of training. For instance, if you are a hearing aid dispenser but perform diagnostic audiology, or if you are an SLP and diagnose conditions outside your authorized scope of practice, the board considers these actions a breach of the California Business and Professions Code.
These distinctions ensure you stay within your scope of practice, as the board views performing tasks outside your legal scope of practice as a violation of the law rather than a simple medical mistake, regardless of your intentions.
Some of the common reasons that trigger investigations include:
- Financial Integrity and Avoiding Misrepresentation
Finances are crucial to your reputation, and the board has strict enforcement standards for what it considers fraud. You risk serious disciplinary measures if you bill Medicare and Medi-Cal for services not provided or “upcode” to receive higher reimbursement.
Beyond billing practices, you should also maintain truthful representations in the marketplace. False advertising about the effectiveness of hearing devices or the misrepresentation of yourself as a “doctor” or “audiologist” when you are not is misrepresentation. These deceptions, whether deliberate fraud or negligence, may lead to disciplinary action by the attorney general’s office against the offender in the public interest.
- Administrative and Staff Supervising Violations
You may be held responsible for the administrative functions of your practice, particularly regarding the registration and supervision of your employees.
You open yourself to investigations if you assist and abet unlicensed practice by hiring a speech-language pathology assistant (SLPA) or an audiology aide before they are properly registered with the state. Furthermore, you must offer the required direct or indirect supervision for these positions.
The board may hold you accountable under your license for any clinical mistakes made by your assistants. Any failure of your monitoring or failure to document supervision may result in disciplinary action, including censure or suspension of your license to practice.
Note: The Board also considers your non-clinical activities under the “substantially related” criterion. California law allows the SLPAHADB to examine your criminal record, including DUIs, domestic violence, or embezzlement, to determine if the conduct affects your ability to care for patients safely. The board argues that bad judgment or moral turpitude (conduct considered unethical or dishonest) in your personal life affects your professional judgment and the safety of your patients. Given the flexibility in California law to interpret a crime as substantially related to your practice, it may lead to disciplinary review or an accusation, and you must build a complex case to save your career.
How Investigators Build Cases Against Licensed Professionals
The first sign that the board is investigating you typically comes in the form of a letter or a telephone call from a DCA investigator. This correspondence may appear friendly and helpful, requesting that you provide your version of events to resolve what may be a small misunderstanding. Understand that this letter marks the initiation of a formal investigation. The investigator, who is a sworn peace officer, is conducting an official inquiry and not offering career advice. He/she will collect information to evaluate whether you have committed an offense under the California Business and Professions Code. Anything you say will be recorded and could be used to sustain an accusation against your license.
When you are invited to volunteer for an interview, you face an important decision. You may have a natural impulse to be helpful and demonstrate the quality of your clinical practice. However, do not agree to an interview without a lawyer present. These interviews are formal and may be used to gather evidence for a particular version of events or to extract admissions of administrative and/or clinical mistakes. You have the right to seek legal counsel before responding and legal advice during these interviews. Exercising these rights does not mean you are guilty. It simply means that you will not provide the board with the evidence it uses to suspend your license.
Substantial technical expertise is required when dealing with requests for patient information. If an investigator requests documents, you need to confirm that the request is supported by proper legal authority, such as:
- A valid patient release
- A board-issued subpoena
Releasing protected health information without appropriate permission could result in an additional HIPAA or state confidentiality breach.
You need to scrutinize each page of the requested records to make sure it is in accordance with the subpoena and preserves patient privilege. Responding to these requests involves both cooperation and protection to ensure the board gets what it is entitled to, without requiring you to disclose information that isn’t required or is disadvantageous to you.
What Happens After a Board Investigation
When the investigation develops sufficient evidence to prove a violation, the board moves to the disciplinary stage and files a legal pleading.
For existing practitioners, this pleading is an accusation, which is a formal document signed by the board’s executive officer and prosecuted by the office of the attorney general. This is a legal complaint against your practice, listing the statutes you allegedly breached and stating that the Board is seeking to suspend or revoke your license. If you are a first-time applicant for a license, the board will serve a Statement of Issues, which explains the reasons the board will not issue your first license due to prior acts or clinical incompetence.
You should respond to these documents with the utmost urgency. Included with the “Accusation” is a packet containing a “Notice of Defense,” which is your request for a hearing. In California, you have only 15 days from the date you are served to file the Notice of Defense. If you fail to do so within 15 days, you are deemed to have waived your right to a hearing, and the board can issue a default decision. That means that you will risk a decision, which may result in license revocation without first having the chance to produce witnesses and present evidence.
Once you file your defense, the case proceeds to the administrative hearing stage, which is administered by an administrative law judge (ALJ). This is a formal trial involving the rules of evidence, witness testimony, and legal briefing. During this time, the attorney general represents the board and fights to achieve the punishment goals outlined in the “Accusation.” You must follow these rules because the board publishes all legal claims against you in a public record that anyone can see. It is important to understand these procedural challenges and the various time requirements to ensure your voice is heard in court so that you can protect your livelihood.
What Happens at an OAH License Disciplinary Hearing
If your case does not resolve through early negotiations, it proceeds to a formal trial at the Office of Administrative Hearings (OAH). Your case is heard by an administrative law judge who will:
- Rule on the case
- Listen to witness testimony
- Consider the evidence you and the deputy attorney general submit
This is not a typical civil case trial but a special administrative hearing where the board must prove its case by clear and convincing evidence. You can present mitigating evidence, including:
- Character letters
- Evidence of remedial education
- Expert testimony
Mitigating evidence offers a counter-narrative to the board and proves your competence to practice.
You can also negotiate a settlement for your license. Working with your professional license defense attorney, you can negotiate to retain your license on probation, rather than having it revoked. These settlements may also involve certain “terms and conditions” that must be met, such as:
- Taking ethics courses
- Passing a professional boundaries test
- Being placed under the supervision of a practice monitor
Although probation is a serious matter on your public record, a successful settlement will enable you to continue practicing while complying with the conditions as you address the board’s concerns about your conduct or competency.
You should also consider the potential costs to you if you lose a hearing. The board can seek cost recovery against you if they are successful under California Business and Professions Code Section 125.3. This means the board can order you to pay for the cost of the investigation and prosecution by the attorney general’s office. These expenses can be substantial and are a liability you owe to the state, often as a requirement to retain or regain your licensure.
Given the potential for damage to your reputation and livelihood, navigating the OAH system requires a strategic approach that balances aggressive defense with realistic settlement goals.
Find a Professional License Defense Attorney Near Me
Hearing and speech play a pivotal role in human interaction. As a hearing aid dispenser, speech-language pathologist, or audiologist, you do more than address symptoms. You help individuals regain communication skills and reconnect with their community. However, one administrative oversight or misinterpreted complaint can threaten your hard-won license to practice.
Do not risk the career you have worked so hard to achieve. If you are facing a license investigation or complaint, do not face these challenges without professional help. Call San Jose License Attorney today at (669) 330-4517 to ensure your voice is heard and your career remains protected.
