1. BE AWARE
AWARETM understands
AVOID THE 10 BIGGEST THREATS
that today’s litigious society means more challenges for professionals like you.
Unwarranted attacks on the reputations and livelihoods of licensed professionals are becoming increasingly commonplace.
In fact, anyone can file a complaint with the state review board or licensing authority at any time for any reason. And, every
complaint submitted must be investigated whether the accusation is legitimate or contrived. The review process can take
months, if not years, to come to closure. This means that the simple filing of a complaint can cause immediate damage to
your reputation and livelihood, regardless the outcome of the investigation.
AWARETM wants to help protect your professional license, your reputation and your livelihood. So we continue to conduct
proprietary research related to state review board policy and practices, as well as the outcomes of various complaints.
We’ve gathered some of these findings to help inform you about the most common threats and how you can avoid them.
While these hints can’t prevent complaints, they can provide some helpful things to think about.
1. Disgruntled Ex-employees 6. Errors & Mistakes
Unhappy ex-employees know the intricacies of your business Anyone can make a mistake, but one tiny error could make
operations and where you’re most vulnerable. It’s critical to the difference in your ability to keep your professional
establish employment contracts and exit clauses that limit license. Whether you improperly file certain paperwork or
the risk of retribution from unhappy ex-employees. fail to follow procedures, it can have far reaching impact on
your career and reputation. Establishing strict quality control
2. Dissatisfied Customers measures can help minimize errors and potential risk.
No matter how good your product or service is, there will
always be complaints. It’s often helpful to maintain accurate 7. Inexperienced Staff
transaction data, product/service actions, customer service What your staff does or doesn’t do can directly impact you.
inquiries and complaint resolution documentation. In most Legally, they represent you in your practice and therefore the
organizations, these functions are decentralized, leaving actions of others can jeopardize your career and reputation.
licensed professionals at risk. Investing in proper training can help protect you and
your staff.
3. Competitors
There are some out there who take competition a little too 8. Improper Conduct
seriously. License complaints can be filed by anyone for any It’s easy for one misconstrued action to have far reaching
reason — and that means your competitors could prompt impact on your livelihood and reputation, regardless of the
a fraudulent investigation to sidetrack your progress. It’s outcome of the investigation. It’s recommended that you
important to know your competition and maintain strong meet clients in public venues, ensure an associate is present
record keeping. during critical discussions and document communications.
4. Special Interest Groups 9. Industry Changes
Sometimes not having the same views or not having a Industry and/or legal guidelines can often change, and it’s
diversified staff leaves you susceptible to complaints from important to keep yourself well versed in policy adjustments
special interest groups. They may target a specific industry within your profession. Member organizations, professional
or profession to set the stage for a lawsuit that will bring journals, magazines and state review board web sites are
their larger cause to light. Keep aware of what’s happening all valuable reference points. Establish a monthly review
in your community. process as part of your standard operating procedure.
5. Required Continuing Education 10. License Expiration & Renewal
If your employee has a lapse in required Continuing Education Many professionals must renew their professional licenses
earned credits, you could leave yourself vulnerable to state every five years. It’s not uncommon for people to falter on
review board or licensing authority action. Keep tabs on renewing their licenses within the designated time frame or
the timetables your profession requires and document not meet the renewal guidelines. Making sure your license
every credit. is current is imperative to protect your career
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