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Are you a healthcare professional? If so, you are subject to board investigation by an applicable licensing board, such as the Ohio Board of Nursing (“BON”), the Ohio Board of Pharmacy (“BOP”), or the State Medical Board of Ohio (“SMBO”). These investigations are thorough and potentially expose you to disciplinary action.  

How to prevent a board investigation:

Stay up to date on professional requirements.

Healthcare is heavily regulated. As such, it is important to know and understand the changing landscape that surrounds your profession. You should also stay informed of license requirements, such as required educational hours or application dates for license renewal.

Ensure that you are operating within the scope of your job.

Often, healthcare professionals are required to only operate within the scope of their job. Operating outside that scope opens you up to complaints and investigations.

Keep thorough documentation.

For most professionals, the key to compliance starts with accurate and satisfactory documentation. Keeping track of patient records or drug logs can help ensure that you are in compliance with applicable laws and regulations. Having documentation can also help during an investigation as evidence of your compliance.     

If you are unsure of something, ask a lawyer.

As stated before, the healthcare industry is highly regulated, and regulations are constantly being updated. It is vital to engage a lawyer if you have any questions regarding regulations that apply to your profession.  

Know the top investigated violations and ensure compliance within those categories.

The BON, BOP, and SMBO routinely investigate the following violations:

• Drug related violations
  • Improper handling of drugs
  • Drug theft
  • Drug diversion
  • Improper drug storage
  • Compounding violations
  • Dispensing errors
  • Incorrect procedures or license for distributing dangerous drugs
  • Purchasing drugs from unlicensed sellers
• License requirement violations
• Patient abuse or neglect concerns
• Sexual misconduct
• Operating in unsanitary conditions

Taking action to ensure compliance within the listed categories is a step towards preventing complaints and subsequent board investigations.

I was contacted by a licensing board… now what?

If contacted by a licensing board, it is important to understand what an investigation may entail and what you should do to cooperate.   

Step 1: Complaint Filed and Reviewed

Individuals have the right to report conduct that violates laws, rules, or regulations, to the applicable licensing board. The licensing board then conducts a review of the complaint, first determining if it has jurisdiction over the reported individual and conduct.    

Step 2: The Investigation

After confirming jurisdiction, the case is assigned to an investigator who reviews the complaint. The licensee may be asked to respond to the allegations in writing, to attend an in-person interview, or be subjected to a site visit. The investigation can take months to complete.  

• Unannounced knock on your door from an investigator: While it is required and prudent to cooperate with a board investigation, you should not speak to an investigator before contacting an attorney. If contacted by an investigator, immediately hire or contact legal counsel.    
• Request for an interview from an investigator: When an investigator requests an interview, it is important to be truthful and responsive when answering questions. You should listen carefully to the question, clarify if needed, and answer to the best of your ability. While responsiveness is recommended, you should not volunteer information beyond what is being asked.

Step 3: Board Action

After the initial investigation, a licensing board may take action in the following ways:

• The case can be dismissed or referred to the appropriate licensing board.
• The licensing board can take non-disciplinary action, such as issuing an advisory letter.
• The licensing board can take disciplinary action through fines, probation, reprimands, revoking a license, or suspending a license.  
• In emergencies, a licensing board may issue a summary suspension of a license if the individual’s actions pose an immediate and serious risk to public safety.      

Step 4: Board Hearing and Settlement

If there is evidence supporting disciplinary action, you have the right to a hearing. This hearing is a formal process, and a final decision will be made regarding your sanctions. You may also enter into a settlement with the licensing board prior to the hearing. An attorney can aid in ensuring that you receive equitable settlement terms.    

Step 5: Appeal

After a hearing, you have the right to appeal the final decision. Under Ohio law, you may file your appeal in the court of common pleas of Franklin County, the county in which the place of business of the licensee is located, or the county in which the licensee is a resident, dependent on which licensing board the final decision was from.

To learn more about preventing board investigations or to discuss the next steps in your investigation, please contact BMD Member Jeana Singleton at jmsingleton@bmdllc.com or 330-253-2001.